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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Petty is a financial advisor with Morgan Stanley. Thomas is a registered representative and investment advisor representative with the firm and has been working in the financial industry since 2018. Thomas works with a variety of clients, including individuals, high-net-worth individuals, corporations, and charitable organizations. Thomas provides financial planning, asset allocation advice, portfolio management, and other advisory services. Thomas is licensed to sell securities in Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Kansas, Kentucky, Maine, Maryland, Massachusetts, Michigan, Missouri, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Texas, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MD
08/13/2020 - Present
Morgan Stanley (Annapolis MD)
MD
08/13/2019 - 09/18/2019
AXA ADVISORS, LLC (COLUMBIA MD)
MD
02/26/2019 - 05/07/2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (ANNAPOLIS MD)
IA
Issued 10/14/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/13/2019
Series 7TO - General Securities Representative Examination
BC
Issued 02/26/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/22/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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