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Thomas Francis Wiese

THE Leaders Group, Inc.

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About Thomas Francis Wiese

Thomas Wiese is a financial professional with over 20 years of experience in the financial services industry. Thomas has a strong background in securities and investment management, having held positions with leading firms such as BNY Mellon Capital Markets, LLC, Hartford Equity Sales Company Inc., and Prudential Investment Management Services LLC. Thomas is currently registered with The Leaders Group, Inc. and holds Series 7, 24, 63, 66 and SIE licenses. He is committed to providing comprehensive financial planning and investment advice to his clients.

Firm Information

Thomas Wiese is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Thomas Wiese’s Registration & Firm History

CO

03/01/2024 - Present

THE Leaders Group, Inc. (LITTLETON CO)

PA

04/17/2015 - 09/29/2021

LOMBARD INTERNATIONAL DISTRIBUTION COMPANY (PHILADELPHIA PA)

NY

08/14/2012 - 02/26/2013

BNY MELLON CAPITAL MARKETS, LLC (NEW YORK NY)

CT

05/26/2005 - 10/20/2010

HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)

NY

01/11/2005 - 02/08/2005

MMC SECURITIES CORP. (NEW YORK NY)

NY

06/27/2003 - 01/07/2005

MMC SECURITIES CORP. (NEW YORK NY)

OH

09/25/2001 - 06/18/2002

GARTMORE DISTRIBUTION SERVICES, INC. (COLUMBUS OH)

NJ

12/22/1998 - 12/14/2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

MD

06/25/1991 - 04/24/1996

BT SECURITIES CORPORATION (BALTIMORE MD)

MD

09/19/1990 - 03/06/1991

BT SECURITIES CORPORATION (BALTIMORE MD)

NY

03/29/1988 - 05/30/1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/29/2024

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 05/13/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/17/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Francis Wiese.
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