Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas DeCaprio is a financial advisor with over 25 years of experience in the financial industry. Thomas is currently registered with LPL Financial LLC and holds the Series 6, 7, 9, 10, 26, 63, 66, 99TO, and SIE licenses. Thomas has worked with Wells Fargo Clearing Services, LLC, Transamerica Investors Securities Corporation, and First Union Brokerage Services, Inc., in the past. Thomas specializes in providing financial planning, portfolio management, and consulting services for individuals, businesses, and charitable organizations.
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
SC
05/20/2024 - Present
LPL Financial LLC (FORT MILL SC)
NY
03/20/2024 - 05/02/2024
TRANSAMERICA INVESTORS SECURITIES CORPORATION (HARRISON NY)
NJ
10/01/2000 - 04/19/2023
WELLS FARGO CLEARING SERVICES, LLC (SOMERS POINT NJ)
NC
01/11/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NJ
08/23/1995 - 07/21/1999
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 03/10/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/10/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2024
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 06/04/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/20/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/17/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/2003
Series 7 - General Securities Representative Examination
BC
Issued 08/22/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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