Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Kelly is a financial advisor with over 30 years of experience. Thomas is currently registered with LPL Financial LLC and has previously worked with a number of other firms including Wells Fargo Clearing Services, LLC, D.A. Davidson & Co., Piper Jaffray & Co., Wells Fargo Investments, LLC, Dain Rauscher Incorporated, Independent Financial Securities, Inc., Pruco Securities Corporation and The Prudential Insurance Company of America. Thomas holds a variety of licenses and certifications including Series 6, 7, 9, 10, 31, 63 and 65. Thomas Kelly is a well-rounded advisor and is able to provide a wide range of services to his clients including financial planning, consulting and other non-discretionary advisory services, portfolio management for businesses, and portfolio management for individuals.
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.
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2
WA
09/13/2022 - Present
LPL Financial LLC (LYNNWOOD WA)
WA
01/12/2012 - 09/14/2022
WELLS FARGO CLEARING SERVICES, LLC (LYNNWOOD WA)
WA
07/07/2006 - 01/13/2012
D.A. DAVIDSON & CO. (EVERETT WA)
WA
08/28/2003 - 07/13/2006
PIPER JAFFRAY & CO. (EVERETT WA)
CA
01/28/2000 - 09/11/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
NY
03/02/1998 - 02/01/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
02/06/1996 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NA
12/24/1991 - 03/06/1996
INDEPENDENT FINANCIAL SECURITIES, INC.
NJ
06/25/1990 - 01/17/1991
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
06/25/1990 - 01/17/1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 10/27/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/21/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/07/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/30/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2015
Series 31 - Futures Managed Funds Examination
BC
Issued 03/22/1993
Series 7 - General Securities Representative Examination
BC
Issued 06/21/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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