Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Brian Sernett is a financial advisor registered with Stifel, Nicolaus & Company, Inc. Thomas has been in the financial industry since July 26, 2000. Thomas is registered with the Securities and Exchange Commission and is a registered representative of Stifel, Nicolaus & Company, Inc. Thomas has a Series 7 and Series 63 license, as well as a Series 65 license. Thomas offers financial planning, portfolio management, and pension 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.
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
IA
07/23/2020 - Present
Stifel, Nicolaus & Company, Inc. (MASON CITY IA)
IA
08/12/2006 - 10/16/2009
UBS FINANCIAL SERVICES INC. (MASON CITY IA)
IA
07/26/2000 - 08/12/2006
PIPER JAFFRAY & CO. (MASON CITY IA)
IA
Issued 09/01/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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