Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Casey Sullivan is a financial advisor with Wells Fargo Clearing Services, LLC. Thomas has been in the securities industry since 1980 and holds licenses to practice in 14 states. He offers investment consulting services to institutional clients, financial planning, and portfolio management for individuals and businesses. His prior employment includes A. G. Edwards & Sons, Inc., LaSalle St Securities, L.L.C., Refco Securities, Inc., and Contisecurities, Inc. Thomas earned the Certified Financial Planner designation and holds the Series 7, Series 22, and Series 63 licenses.
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.
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.
Investment consulting services to institutional clients
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
MO
10/24/2024 - Present
Wells Fargo Clearing Services, LLC (FRONTENAC MO)
MO
08/03/1990 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IL
03/19/1987 - 08/10/1990
LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)
NA
04/25/1986 - 01/12/1987
REFCO SECURITIES, INC.
NA
12/02/1980 - 11/13/1984
CONTISECURITIES, INC.
BC
Issued 02/27/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
BC
Issued 11/20/1980
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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