Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Dooley is a financial advisor registered with Fidelity Personal and Workplace Advisors. He has been in the financial services industry since 1993. Thomas Dooley is licensed in 54 states and has experience in portfolio management for businesses and individuals, financial planning, and selection of other advisors. Thomas Dooley also provides educational seminars.
CHARLOTTE, NC
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.
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.
A percentage of the total value of assets under management is charged.
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2
NC
01/18/2022 - Present
Fidelity Personal AND Workplace Advisors (CHARLOTTE NC)
FL
10/14/2020 - 10/22/2021
THE LEADERS GROUP, INC. (West Palm Beach FL)
FL
06/26/2015 - 11/15/2018
LPL FINANCIAL LLC (WELLINGTON FL)
FL
10/26/2011 - 07/06/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOYNTON BEACH FL)
FL
08/05/2011 - 10/14/2011
LPL FINANCIAL LLC (TAMPA FL)
FL
09/24/2009 - 03/25/2011
CHASE INVESTMENT SERVICES CORP. (STUART FL)
FL
04/05/2002 - 05/05/2009
WACHOVIA SECURITIES, LLC (JUPITER FL)
NY
08/02/2001 - 03/15/2002
QUICK & REILLY, INC. (NEW YORK NY)
MO
10/01/2000 - 05/02/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
09/16/1997 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
05/03/1993 - 08/20/1997
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MN
07/16/1991 - 03/16/1993
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/16/1991 - 03/16/1993
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MN
12/04/1989 - 03/12/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
12/04/1989 - 03/12/1990
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NA
03/06/1989 - 04/08/1989
J. W. GANT & ASSOCIATES, INC.
NA
07/19/1988 - 03/10/1989
INVESTORS CENTER, INC.
BOTH
Issued 1/11/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/9/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/25/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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