Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Paulson is a financial advisor with RBC Capital Markets, LLC. Thomas has been in the industry since 1987. Thomas holds Series 3, 7, 63, and 65 licenses, as well as the SIE exam. Thomas specializes in providing financial planning, pension consulting, portfolio management for individuals, businesses, and pooled investment vehicles. Thomas has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley & Co. Incorporated in the past.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
IL
04/29/2021 - Present
RBC Capital Markets, LLC (Lake Forest IL)
IL
11/21/2008 - 04/30/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LAKE FOREST IL)
IL
04/02/2007 - 12/05/2008
MORGAN STANLEY & CO. INCORPORATED (LIBERTYVILLE IL)
IL
12/12/1987 - 04/02/2007
MORGAN STANLEY DW INC. (LIBERTYVILLE IL)
IA
Issued 03/09/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/11/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/1989
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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