Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Lewis is a financial advisor who has been active in the industry since 2009. Thomas is currently registered with Wells Fargo Clearing Services, LLC and has previously been registered with Cetera Investment Services LLC, LPL Financial LLC, CUSO Financial Services, L.P., Resource Securities, Inc., Voya Investments Distributor, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney and MML Investors Services, Inc.. Thomas holds the following licenses: Series 3, Series 7, Series 31 and Series 66. Thomas specializes in providing financial advice to high-net-worth individuals, individuals other than high-net-worth, corporations, and institutions.
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
GA
11/15/2021 - Present
Wells Fargo Clearing Services, LLC (CANTON GA)
GA
04/01/2019 - 11/22/2021
CETERA INVESTMENT SERVICES LLC (WOODSTOCK GA)
CT
10/12/2018 - 04/24/2019
LPL FINANCIAL LLC (ENFIELD CT)
MA
12/05/2016 - 10/11/2018
CUSO FINANCIAL SERVICES, L.P. (SOUTHBRIDGE MA)
PA
04/12/2016 - 10/04/2016
RESOURCE SECURITIES, INC. (PHILADELPHIA PA)
CT
11/16/2011 - 04/04/2016
VOYA INVESTMENTS DISTRIBUTOR, LLC (WINDSOR CT)
AL
01/14/2011 - 08/05/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BIRMINGHAM AL)
AL
05/10/2010 - 01/12/2011
MORGAN STANLEY SMITH BARNEY (BIRMINGHAM AL)
MA
03/12/2008 - 04/21/2009
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
BOTH
Issued 06/29/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/2010
Series 3 - National Commodity Futures Examination
BC
Issued 07/28/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/11/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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