Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Bernard Dias is a financial advisor who has been in the industry since 1999. Thomas is currently registered with LPL Financial LLC. He is also registered with the state of California as an investment advisor. Previously, Thomas was employed at WADDELL & REED and RBC CAPITAL MARKETS, LLC. Thomas is a Certified Financial Planner and has passed the Series 7, Series 31 and Series 66 exams. Thomas has been active in the Clovis Rockets since 2018.
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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2
CA
07/21/2021 - Present
LPL Financial LLC (Fresno CA)
CA
09/04/2020 - 07/21/2021
WADDELL & REED (Fresno CA)
CA
05/27/2005 - 09/23/2020
RBC CAPITAL MARKETS, LLC (FRESNO CA)
NY
08/25/1999 - 06/01/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 09/01/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 08/24/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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