Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas McCormick is a financial advisor who has been working in the industry since April 2000. Thomas is currently registered with Charles Schwab & CO., Inc. in Lutz, FL. Previous employers include J.W. COLE FINANCIAL, INC., ROYAL ALLIANCE ASSOCIATES, INC., HIGH MARK SECURITIES, INC., CUNA BROKERAGE SERVICES, INC. and ALLSTATE FINANCIAL SERVICES, LLC. Thomas holds Series 6, 7, 9, 10, 63, and 65 licenses as well as the SIE designation.
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.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
FL
02/10/2020 - Present
Charles Schwab & CO., Inc. (Lutz FL)
FL
02/01/2010 - 12/31/2019
J.W. COLE FINANCIAL, INC. (WESLEY CHAPEL FL)
FL
08/24/2004 - 02/04/2010
ROYAL ALLIANCE ASSOCIATES, INC. (LAND O LAKES FL)
FL
11/15/2002 - 08/31/2004
HIGH MARK SECURITIES, INC. (LAKELAND FL)
IA
08/16/2000 - 09/11/2002
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
NE
12/21/1999 - 07/27/2000
ALLSTATE FINANCIAL SERVICES, LLC (LINCOLN NE)
IA
Issued 11/05/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/08/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/22/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2000
Series 7 - General Securities Representative Examination
BC
Issued 12/16/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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