Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Fleming is a securities professional with over 20 years of experience in the financial industry. Thomas has a broad background in the industry, having previously worked at Deutsche Bank Securities Inc., Wells Fargo Securities, LLC, and Credit Suisse Securities (USA) LLC. Thomas is currently registered with Mufg Securities Americas Inc. and is licensed to conduct business in all 50 states and Puerto Rico. Thomas holds Series 3, 7 and 63 licenses as well as the Securities Industry Essentials (SIE) Exam.
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.
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.
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2
NY
10/16/2018 - Present
Mufg Securities Americas Inc. (NEW YORK NY)
NY
08/19/2015 - 03/09/2018
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
01/28/2013 - 08/06/2015
WELLS FARGO SECURITIES, LLC (NEW YORK NY)
NY
05/01/2006 - 02/20/2013
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
03/05/1998 - 05/01/2006
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 05/15/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/09/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2003
Series 3 - National Commodity Futures Examination
BC
Issued 03/04/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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