Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Lieser is an investment advisor representative at Stifel, Nicolaus & Company, Inc. with over 20 years of experience in the financial services industry. Thomas is a CERTIFIED FINANCIAL PLANNER™ professional who specializes in financial planning, portfolio management for individuals and businesses, and pension consulting. Thomas is registered with the Securities and Exchange Commission (SEC) and with the state of Ohio.
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
OH
02/14/2019 - Present
Stifel, Nicolaus & Company, Inc. (CINCINNATI OH)
OH
06/15/2011 - 02/25/2019
UBS FINANCIAL SERVICES INC. (CINCINNATI OH)
OH
06/01/2009 - 06/30/2011
MORGAN STANLEY SMITH BARNEY (CINCINNATI OH)
OH
11/04/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CINCINNATI OH)
BC
Issued 12/12/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 11/01/2002
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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