Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Alan Fliss is a financial advisor registered with Wells Fargo Clearing Services, LLC. Thomas Alan Fliss has been in the financial services industry since 2003. The advisor has passed Series 63 and Series 65 state securities exams and holds Series 7 and Series SIE licenses. Thomas Alan Fliss has previously worked for Ameriprise Financial Services, LLC and Investment Professionals, Inc. In addition to securities, Thomas Alan Fliss also provides financial planning services.
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.
1
2
GA
06/06/2022 - Present
Wells Fargo Clearing Services, LLC (LILBURN GA)
LA
09/11/2018 - 06/09/2022
AMERIPRISE FINANCIAL SERVICES, LLC (Coushatta LA)
LA
07/05/2011 - 09/11/2018
INVESTMENT PROFESSIONALS, INC. (COUSHATTA LA)
LA
02/20/2003 - 07/08/2011
EDWARD JONES (SHREVEPORT LA)
IA
Issued 04/20/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/21/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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