Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas David Losby has been in the financial services industry since September 1988. Thomas is currently registered with LPL Financial LLC as a Registered Representative and Investment Adviser Representative. Thomas is registered to provide investment advice in Missouri. Prior to joining LPL Financial, Thomas worked at Northwestern Mutual Investment Services, LLC, Lincoln Financial Securities Corporation, Lincoln Financial Advisors Corporation, NRP FINANCIAL, INC., FFP SECURITIES, INC., SWS FINANCIAL SERVICES, BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC., CONTINENTAL CAPITAL INVESTMENT SERVICES, INC., PROVALUE INVESTMENTS, INC., HAMILTON INVESTMENTS, INC., PRUDENTIAL SECURITIES INCORPORATED, and E. F. HUTTON & COMPANY INC. Thomas holds multiple securities licenses and designations, including the Series 7, 9, 10, 24, 63, 65, 99TO, and SIE exams. Thomas has been registered with the Securities and Exchange Commission (SEC) and FINRA and has been approved to offer investment advice in 53 states and the District of Columbia. Thomas provides a wide range of financial services to individuals, businesses, and institutions, including financial planning, portfolio management, and retirement planning.
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.
Consulting and other non-discretionary advisory services
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
09/13/2024 - Present
LPL Financial LLC (WEATHERBY LAKE MO)
KS
05/23/2018 - 04/06/2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LEAWOOD KS)
IN
06/25/2014 - 10/21/2016
LINCOLN FINANCIAL SECURITIES CORPORATION (FORT WAYNE IN)
IN
03/14/2012 - 10/21/2016
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
05/01/2008 - 12/31/2010
NRP FINANCIAL, INC. (FORT WAYNE IN)
OH
11/29/2005 - 05/09/2008
FFP SECURITIES, INC. (BRYAN OH)
TX
09/30/2003 - 10/05/2005
SWS FINANCIAL SERVICES (DALLAS TX)
IA
03/31/2003 - 10/01/2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CEDAR RAPIDS IA)
OH
01/22/1996 - 03/31/2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC. (BRYAN OH)
NA
08/02/1993 - 03/31/1995
PROVALUE INVESTMENTS, INC.
NA
07/30/1991 - 03/31/1995
HAMILTON INVESTMENTS, INC.
NY
05/29/1987 - 07/31/1991
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
09/24/1984 - 06/12/1987
E. F. HUTTON & COMPANY INC
IA
Issued 09/09/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/28/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/14/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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