Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Knickerbocker is an investment advisor representative with First Trust Advisors LP. Thomas has been working in the financial services industry for over 23 years, and has been registered with the state of Illinois since 2000. Thomas is a Series 6, 7, 63, and 65 licensed professional with an active Securities Industry Essentials (SIE) designation.
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.
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.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
Fixed fees per unit (uits) for portfolio supervisory services
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2
IL
03/17/2009 - Present
First Trust Advisors LP (WHEATON IL)
IA
Issued 01/16/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2011
Series 7 - General Securities Representative Examination
BC
Issued 07/12/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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