Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Christopher Simpson is a financial advisor with Cambridge Investment Research Advisors, Inc. based in York, Maine. Thomas has been in the financial services industry since May 1994. Thomas has a variety of licenses including Series 6, 7, 63 and 66. Thomas is a registered representative in Maine, Massachusetts, New Hampshire, Florida, and Oregon. Thomas holds a SIE and is an advisory representative for the firm.
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.
Solicitation fees from 3rd party money managers
1
2
ME
01/26/2010 - Present
Cambridge Investment Research Advisors, Inc. (York ME)
ME
07/16/2009 - 01/28/2010
H. BECK, INC. (YORK ME)
ME
05/06/2009 - 07/21/2009
LPL FINANCIAL CORPORATION (YORK ME)
NH
05/11/2005 - 03/17/2009
LINCOLN FINANCIAL SECURITIES CORPORATION (PORTSMOUTH NH)
DE
10/18/2000 - 04/22/2005
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
NY
05/11/1999 - 10/30/2000
NEW ENGLAND SECURITIES (NEW YORK NY)
NJ
02/14/1994 - 04/16/1999
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 02/17/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2005
Series 7 - General Securities Representative Examination
BC
Issued 02/11/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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