Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Earle Day is a financial advisor who has been in the industry since 1988. Thomas Earle Day is currently registered with Janney Montgomery Scott LLC and has been with the firm since November 2005. He has previously been with Advest, Inc., Citizens Financial Services Inc., Prudential Securities Incorporated, Tucker Anthony Incorporated, and International Heritage Securities, Inc. Thomas Earle Day holds Series 6, 7, 63 and 65 licenses. Thomas Earle Day is registered in 37 states and is currently active in both broker-dealer and investment advisor capacities.
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.
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.
Fee plus commission
1
2
RI
03/15/2023 - Present
Janney Montgomery Scott LLC (Warwick RI)
CT
01/05/2001 - 12/12/2005
ADVEST, INC. (HARTFORD CT)
RI
07/16/1997 - 02/02/2001
CITIZENS FINANCIAL SERVICES INC. (JOHNSTON RI)
NY
05/06/1994 - 07/16/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MA
07/28/1988 - 05/11/1994
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NA
01/18/1988 - 06/10/1988
INTERNATIONAL HERITAGE SECURITIES, INC.
IA
Issued 10/14/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/15/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1988
Series 7 - General Securities Representative Examination
BC
Issued 01/15/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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