Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Cavin is a financial advisor with over 40 years of experience in the industry. Thomas has a wide range of experience, having worked with firms such as Securities America, Inc., Foothill Securities, Inc., and SunAmerica Securities, Inc. Thomas is currently registered with OSAIC WEALTH, INC. and has been serving clients for over 30 years. Thomas has a strong background in financial planning, portfolio management, and pension consulting. Thomas is dedicated to providing personalized financial advice and helping clients achieve their financial goals. Thomas holds a Series 6, 7, 24, 63, 65, SIE, and 99TO license and is registered in Arizona, California, Colorado, Georgia, Idaho, Minnesota, Montana, New Jersey, Oregon, Texas, Vermont, Virginia, and Washington.
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.
A percentage of the total value of assets under management is charged.
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2
CA
06/14/2024 - Present
Osaic Wealth, Inc. (SOQUEL CA)
CA
12/08/2016 - 06/14/2024
SECURITIES AMERICA, INC. (SOQUEL CA)
CA
03/30/1999 - 12/08/2016
FOOTHILL SECURITIES, INC. (SOQUEL CA)
AZ
11/14/1995 - 03/18/1999
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
CA
03/23/1990 - 11/21/1995
FOOTHILL SECURITIES, INC. (SANTA CLARA CA)
CA
12/24/1985 - 03/28/1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NA
04/01/1985 - 12/12/1985
ASSOCIATED PLANNERS SECURITIES CORPORATION
NA
03/13/1984 - 04/17/1985
PRUDENTIAL-BACHE SECURITIES INC.
NA
04/25/1983 - 03/23/1984
SHEARSON/AMERICAN EXPRESS INC.
NA
07/01/1981 - 05/05/1983
IDS LIFE INSURANCE COMPANY
NA
07/01/1981 - 05/05/1983
IDS MARKETING CORPORATION
NA
07/01/1981 - 05/05/1983
INVESTORS DIVERSIFIED SERVICES, INC.
IA
Issued 9/24/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/25/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/13/1990
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/21/1983
Series 7 - General Securities Representative Examination
BC
Issued 6/29/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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FINRA
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