Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Barton is a financial advisor with Wells Fargo Advisors Financial Network, LLC. He is registered with the Securities and Exchange Commission and has been in the industry since 2000. Thomas is licensed to provide financial services in multiple states, including Iowa and Texas. He holds a variety of professional certifications, including Series 7, Series 24, and Series 66. Thomas specializes in working with individual and institutional clients and providing investment consulting services. He is also a registered representative with Wells Fargo Advisors, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
IA
09/12/2009 - Present
Wells Fargo Advisors Financial Network, LLC (DUBUQUE IA)
IA
01/01/2008 - 08/21/2009
WELLS FARGO ADVISORS, LLC (DUBUQUE IA)
IA
01/17/2000 - 01/03/2008
A. G. EDWARDS & SONS, INC. (DUBUQUE IA)
BOTH
Issued 09/18/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/15/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 01/14/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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