Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Carlos Nieves is an investment advisor representative who has been in the industry since 1998. Currently, Thomas Carlos Nieves is registered with Centaurus Financial, Inc. and is based in Woodland Hills, California. Thomas Carlos Nieves has been in the industry since January 1998. Thomas Carlos Nieves has worked at several other firms including Cetera Advisor Networks LLC, Summit Brokerage Services, Inc., ING Financial Partners, Inc., Locust Street Securities, Inc., American Express Financial Advisors Inc. and IDS Life Insurance Company. Thomas Carlos Nieves holds Series 7 and 66 licenses as well as the SIE exam. Thomas Carlos Nieves is a financial professional who provides financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
01/31/2020 - Present
Centaurus Financial, Inc. (ANAHEIM CA)
CA
09/20/2019 - 01/17/2020
CETERA ADVISOR NETWORKS LLC (WOODLAND HILLS CA)
CA
03/18/2011 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (WOODLAND HILLS CA)
CA
01/01/2004 - 12/01/2010
ING FINANCIAL PARTNERS, INC. (LOS ANGELES CA)
IA
09/17/2003 - 01/01/2004
LOCUST STREET SECURITIES, INC. (DES MOINES IA)
MN
10/10/1997 - 09/17/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/10/1997 - 09/17/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 12/08/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Thomas Nieves is the right advisor for you? Invested Better is here to help.
