Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Powers is a registered representative with Moors & Cabot, Inc., a Boston based firm. Thomas has been in the financial industry since 1992 and has experience working with high-net-worth individuals, charitable organizations, corporations or businesses, and individuals other than high-net-worth. The advisor has licenses in 40 states and is approved as an Investment Adviser Representative in 2 states. The advisor has a strong background in financial planning and portfolio management. Thomas also has a long history of experience in the municipal securities space and is a Municipal Securities Principal.
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.
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.
1
2
MA
11/03/2009 - Present
Moors & Cabot, Inc. (BOSTON MA)
MA
06/05/2007 - 07/06/2009
FIRST SOUTHWEST COMPANY (BOSTON MA)
MA
01/05/2005 - 06/07/2007
MOORS & CABOT, INC. (BOSTON MA)
NY
01/02/2002 - 06/18/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
04/15/1998 - 01/14/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NY
04/16/1997 - 04/22/1998
CIBC OPPENHEIMER CORP. (NEW YORK NY)
NY
03/11/1996 - 04/11/1997
FLEET SECURITIES INC. (NEW YORK NY)
NY
11/29/1990 - 10/04/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 11/02/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/28/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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