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 Waldron is an investment advisor representative registered with LPL Financial LLC and has been in the industry since 1998. Thomas has experience working with CUNA BROKERAGE SERVICES, INC., ALLSTATE FINANCIAL SERVICES, LLC, ALLSTATE DISTRIBUTORS, L.L.C., AFD, INC. and KEMPER DISTRIBUTORS, INC. Thomas has a Series 6, 7, 24, 26, 51, 63, and 66 license and a SIE certification. Thomas is currently registered with LPL Financial LLC in Illinois and Massachusetts. Thomas is registered with LPL Financial LLC in Illinois and Massachusetts. Thomas specializes in Investment Company Products/Variable Contracts, Securities Industry Essentials, General Securities Representative, Investment Company Products/Variable Contracts Principal, General Securities Principal and Municipal Fund Securities Principal. Thomas has experience working with other, insurance companies, investment companies, charitable organizations, high net worth individuals, other investment advisers, pooled investment vehicles, banking or thrift institutions, business development companies, pension and profit-sharing plans, corporations or other businesses, individuals other than high net worth, state or municipal government entities, and sovereign wealth funds and foreign official institutions. Thomas offers financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, portfolio management for individuals, consulting and other non-discretionary advisory services. Thomas is based in Waverly, Iowa.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IA
05/18/2022 - Present
LPL Financial LLC (Waverly IA)
IA
12/16/2010 - 05/18/2022
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
IL
03/18/2004 - 12/10/2010
ALLSTATE FINANCIAL SERVICES, LLC (WOODRIDGE IL)
IL
10/04/2002 - 01/09/2004
ALLSTATE DISTRIBUTORS, L.L.C. (NORTHBROOK IL)
IL
06/03/1999 - 10/04/2002
AFD, INC. (NORTHBROOK IL)
IL
08/14/1998 - 05/05/1999
KEMPER DISTRIBUTORS, INC. (CHICAGO IL)
BOTH
Issued 12/30/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/22/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/07/2008
Series 24 - General Securities Principal Examination
BC
Issued 12/21/2004
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 07/19/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2005
Series 7 - General Securities Representative Examination
BC
Issued 08/13/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Thomas Waldron is the right advisor for you? Invested Better is here to help.
