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 Trax is a financial advisor with over 29 years of experience in the financial services industry. Thomas is currently registered with LPL Financial LLC. Previously, Thomas worked for NATIONAL PLANNING CORPORATION, WESTFIN SECURITIES CORPORATION, and USLIFE EQUITY SALES CORP.. Thomas is a licensed securities professional with multiple registrations across several states. Thomas has completed several industry exams including the General Securities Representative Examination (Series 7), the Investment Company Products/Variable Contracts Representative Examination (Series 6), and the Uniform Combined State Law Examination (Series 66). Thomas provides a wide range of financial services including financial planning, portfolio management for individuals and businesses, and consulting 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.
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.
Consulting and other non-discretionary advisory services
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.
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CA
03/16/2011 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
12/01/2000 - 09/04/2001
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
CA
02/10/1994 - 12/20/2000
WESTFIN SECURITIES CORPORATION (IRVINE CA)
NY
12/23/1993 - 02/16/1994
USLIFE EQUITY SALES CORP. (NEW YORK NY)
BOTH
Issued 03/23/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/15/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/22/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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