Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Moffat is an investment advisor representative for Osaic Wealth, Inc. He is registered with FINRA and has been in the industry since 1996. Thomas is also a registered investment advisor in Texas and California. He has a background in insurance and specializes in financial planning, pension consulting, and portfolio management. He has experience working with individuals, businesses, and charitable organizations.
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
01/24/2025 - Present
Osaic Wealth, Inc. (WESTLAKE VILLAGE CA)
IN
02/27/2003 - 04/28/2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
CT
03/16/1999 - 09/06/2000
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
MA
09/25/1996 - 08/03/1998
ASSOCIATED SECURITIES CORP. (BOSTON MA)
BOTH
Issued 04/01/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/06/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/1999
Series 7 - General Securities Representative Examination
BC
Issued 09/24/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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