Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Charles Powers is a financial advisor with over 25 years of experience in the industry. Thomas is registered with Cetera Investment Advisers LLC and has held previous registrations with Northwestern Mutual Investment Services, LLC, Triad Advisors LLC, B. Riley Wealth Management, Fidelity Brokerage Services LLC, LPL Financial LLC, Comerica Securities, Invest Financial Corporation, Mutual of Omaha Investor Services, Inc., Ameritas Investment Corp., Waddell & Reed, Inc., UVEST Financial Services Group, Inc., AFS Brokerage, Inc., New England Securities, and Pruco Securities Corporation. Thomas is a Certified Financial Planner and a Chartered Financial Consultant.
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.
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CO
10/24/2023 - Present
Cetera Investment Advisers LLC (GREENWOOD VILLAGE CO)
IL
10/04/2022 - 07/12/2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (VERNON HILLS IL)
GA
10/21/2021 - 08/26/2022
TRIAD ADVISORS LLC (ATLANTA GA)
IL
08/05/2019 - 01/21/2021
B. RILEY WEALTH MANAGEMENT (CHICAGO IL)
CA
06/06/2018 - 05/03/2019
FIDELITY BROKERAGE SERVICES LLC (SUNNYVALE CA)
CA
03/03/2017 - 12/11/2017
LPL FINANCIAL LLC (VACAVILLE CA)
TX
06/09/2015 - 09/14/2016
COMERICA SECURITIES (DALLAS TX)
IA
03/25/2015 - 06/08/2015
INVEST FINANCIAL CORPORATION (WEST DES MOINES IA)
NE
06/11/2013 - 10/01/2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (OMAHA NE)
NE
01/23/2013 - 03/22/2013
AMERITAS INVESTMENT CORP. (LINCOLN NE)
KS
07/15/2005 - 06/04/2012
WADDELL & REED, INC. (OVERLAND PARK KS)
NC
02/22/2005 - 07/01/2005
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NE
05/05/2004 - 12/16/2004
AMERITAS INVESTMENT CORP. (LINCOLN NE)
TX
03/26/2004 - 04/27/2004
AFS BROKERAGE, INC. (AUSTIN TX)
NY
04/19/2001 - 02/03/2004
NEW ENGLAND SECURITIES (NEW YORK NY)
NJ
06/14/1993 - 03/13/2001
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 8/4/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/1/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/9/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 7/23/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 7/24/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/28/1996
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/1/1997
Series 7 - General Securities Representative Examination
BC
Issued 6/11/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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