Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Kennedy is a financial advisor who has been in the industry since November 14, 1990. Thomas is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since April 9, 2015. Before that, Thomas worked at BANCWEST INVESTMENT SERVICES, INC., BBVA SECURITIES INC., UMPQUA INVESTMENTS, INC., WELLS FARGO ADVISORS, LLC, WELLS FARGO INVESTMENTS, LLC, QUICK & REILLY, INC., WADDELL & REED, INC., and CHARLES SCHWAB & CO., INC.. Thomas is licensed to provide securities and investment advisory services in California, Ohio, and other states.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
04/09/2015 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
06/04/2014 - 04/14/2015
BANCWEST INVESTMENT SERVICES, INC. (LIVERMORE CA)
CA
10/16/2013 - 05/13/2014
BBVA SECURITIES INC. (SONORA CA)
CA
04/18/2013 - 09/24/2013
UMPQUA INVESTMENTS, INC. (SONORA CA)
CA
01/03/2011 - 04/01/2013
WELLS FARGO ADVISORS, LLC (MORGAN HILL CA)
CA
06/02/2003 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (CAPITOLA CA)
NY
07/06/1999 - 06/10/2003
QUICK & REILLY, INC. (NEW YORK NY)
KS
01/15/1997 - 10/10/1997
WADDELL & REED, INC. (OVERLAND PARK KS)
TX
11/07/1988 - 11/27/1996
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 07/02/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/16/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/16/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/08/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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