Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Edward Farley is an active Registered Representative with Goldman Sachs & Co. LLC. Thomas has been in the industry since October 25, 2020. Thomas has been registered with Goldman Sachs & Co. LLC since May 23, 2024. Previously, Thomas was registered with CITIGROUP GLOBAL MARKETS INC. from February 17, 2022 to April 30, 2024 and WELLS FARGO SECURITIES, LLC from August 21, 2020 to January 3, 2022. Thomas is licensed to conduct business in all states and holds the Series 7TO, Series 63, Series 86, and Series 87 licenses.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
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2
MA
05/23/2024 - Present
Goldman Sachs & Co. LLC (BOSTON MA)
NY
02/17/2022 - 04/30/2024
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MA
08/21/2020 - 01/03/2022
WELLS FARGO SECURITIES, LLC (Boston MA)
BC
Issued 08/24/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/29/2020
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 09/22/2020
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 08/21/2020
Series 7TO - General Securities Representative Examination
BC
Issued 12/27/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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