Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Seroogy is a financial advisor in BILLINGS, MT. Thomas is registered with PFS Investments Inc., and has been working in the financial services industry since 2014. Thomas has a variety of experience in the financial services industry. He is a registered representative, investment advisor representative, and holds Series 6, 63, 65, 26 and SIE licenses. Thomas is passionate about helping clients achieve their financial goals and has experience working with individuals, businesses, and non-profits.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
MT
06/29/2022 - Present
PFS Investments Inc. (BILLINGS MT)
CA
08/04/2016 - 12/31/2017
PFS INVESTMENTS INC. (TEMECULA CA)
CA
07/17/2012 - 07/28/2016
PFS INVESTMENTS INC. (TEMECULA CA)
IA
Issued 05/25/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/30/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/12/2024
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 05/30/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/31/2017
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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