Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Asta is a financial advisor with over 29 years of experience in the industry. He has a wide range of experience working with various firms, including Merrill Lynch, HSBC Brokerage (USA) Inc., Capital One Investment Services LLC, LPL Financial LLC, and Cetera Investment Services LLC. Thomas is currently registered with LPL Financial LLC and is an active member of the industry. He holds multiple licenses including Series 63, 65, 66, 7, and 24. His specialization includes investment planning, portfolio management, and retirement planning. He is committed to providing personalized financial guidance to his clients.
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.
1
2
NY
05/09/2022 - Present
LPL Financial LLC (PLAINVIEW NY)
NY
05/19/2022 - 10/04/2023
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC (PLAINVIEW NY)
NY
02/01/2021 - 05/02/2022
CETERA INVESTMENT SERVICES LLC (ISLANDIA NY)
NY
01/23/2018 - 01/27/2021
CETERA ADVISOR NETWORKS LLC (NEW YORK NY)
NY
07/17/2014 - 12/04/2017
SIGNATURE SECURITIES (New York NY)
CT
06/24/2013 - 07/16/2014
LPL FINANCIAL LLC (STAMFORD CT)
NY
11/07/2001 - 06/25/2013
CAPITAL ONE INVESTMENT SERVICES LLC (NEW YORK NY)
NY
06/19/2000 - 10/31/2001
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
04/22/1996 - 06/19/2000
REPUBLIC FINANCIAL SERVICES CORPORATION (NEW YORK NY)
NY
03/12/1996 - 03/25/1996
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
NY
03/08/1995 - 01/16/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
05/18/1994 - 12/05/1994
KENSINGTON WELLS INCORPORATED
NY
05/04/1993 - 04/01/1994
STRATTON OAKMONT INC. (LAKE SUCCESS NY)
BOTH
Issued 09/04/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/02/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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