Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Emory Ward is a financial advisor with over 30 years of experience in the industry. Thomas is currently registered with Stifel, Nicolaus & Company, Inc. and has been with the firm since 2015. Thomas specializes in a range of financial planning, portfolio management, and advisory services for individuals, businesses, and pooled investment vehicles. Previously, Thomas worked at Sterne, Agee & Leach, Inc., and Regions Investment Company, Inc. Thomas holds the Series 7, Series 63, and Series 65 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.
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.
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2
AL
04/17/2018 - Present
Stifel, Nicolaus & Company, Inc. (BIRMINGHAM AL)
AL
11/14/1997 - 07/07/2015
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
AL
08/28/1986 - 11/20/1997
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
IA
Issued 12/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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