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 Smith is a financial advisor with Ameriprise Financial Services, LLC in IRVINE, CA. Thomas has been in the industry since November 2, 2000. Thomas has passed the Series 6, 7, 63 and 66 exams and holds registrations in 17 states, including Arizona, California, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Nevada, Oregon, Pennsylvania, Tennessee, Texas, Utah, and Washington. Thomas also provides financial advice to individuals, businesses, insurance companies, trusts/estates, charitable organizations, pension and profit sharing plans, and state or municipal government entities.
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.
Asset allocation services
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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CA
12/18/2008 - Present
Ameriprise Financial Services, LLC (IRVINE CA)
CA
07/26/2008 - 11/23/2010
SECURITIES AMERICA, INC. (IRVINE CA)
CA
02/06/2004 - 05/02/2007
ROYAL ALLIANCE ASSOCIATES, INC. (NEWPORT BEACH CA)
AZ
01/04/1995 - 01/31/1996
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NE
11/14/1994 - 12/06/1994
SECURITIES AMERICA, INC. (LAVISTA NE)
NJ
10/01/1992 - 12/02/1994
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 07/28/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/06/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/2007
Series 7 - General Securities Representative Examination
BC
Issued 02/05/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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