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 Stewart is a financial advisor with over 19 years of experience in the financial services industry. Thomas is currently registered with Vanguard Advisers, Inc., a leading provider of investment management services. Prior to joining Vanguard, Thomas was a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Thomas holds a Series 63 and Series 65 license and has earned the Series 7, Series 9, Series 10, Series 22, Series 24, and Series 39 licenses. Thomas specializes in providing financial planning and investment management services to individuals and families. Thomas has a strong track record of helping clients achieve their financial goals.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NC
05/13/2022 - Present
Vanguard Advisers, Inc. (Charlotte NC)
MO
08/15/2013 - 04/18/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CLAYTON MO)
NV
06/29/2012 - 05/03/2013
MVP AMERICAN SECURITIES (LAS VEGAS NV)
NV
04/22/2010 - 05/07/2012
FINANCIAL ADVISERS OF AMERICA, LLC (HENDERSON NV)
NV
05/06/2008 - 04/09/2010
CM SECURITIES, LLC (HENDERSON NV)
NV
05/28/2002 - 12/08/2005
USA SECURITIES, LLC (LAS VEGAS NV)
NV
05/28/1999 - 09/14/1999
DM FINANCIAL SERVICES, INC. (LAS VEGAS NV)
IA
Issued 06/02/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/09/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/01/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/26/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/02/2012
Series 24 - General Securities Principal Examination
BC
Issued 06/24/2003
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2008
Series 7 - General Securities Representative Examination
BC
Issued 02/21/2002
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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