Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Anthony Carl is a financial advisor with over 40 years of experience in the industry. Thomas has been registered with Morgan Stanley since June 2009 and previously worked for CITIGROUP GLOBAL MARKETS INC. and LEHMAN BROTHERS INC.. Thomas holds a variety of licenses and registrations, including Series 3, 7, and 63, and the SIE. Thomas is able to provide a range of financial services to individuals, corporations, and institutions, including investment management, financial planning, and asset allocation advice.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
02/11/2014 - Present
Morgan Stanley (Paramus NJ)
NJ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PARAMUS NJ)
NY
05/25/1983 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/07/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/07/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/1983
Series 3 - National Commodity Futures Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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