Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Niles is a financial advisor with Janney Montgomery Scott LLC. Thomas has been in the industry since 1992. Thomas has been registered with the state of New York and Texas. Thomas has a Series 7, Series 8, Series 31, Series 63 and Series 65. Thomas has a background with Morgan Stanley & Co. Incorporated and Morgan Stanley Smith Barney. Thomas is an active financial advisor with over 30 years of experience.
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.
Fee plus commission
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2
NY
09/21/2015 - Present
Janney Montgomery Scott LLC (SARATOGA SPRINGS NY)
NY
06/01/2009 - 09/15/2015
MORGAN STANLEY (SARATOGA SPRINGS NY)
NY
03/13/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SARATOGA SPRINGS NY)
NY
07/01/2003 - 03/25/2009
WACHOVIA SECURITIES, LLC (LATHAM NY)
NY
04/06/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/27/1995 - 04/12/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
09/11/1992 - 11/29/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/08/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/08/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/05/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 09/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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