Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Gerard Franz is a registered investment advisor representative with Charles Schwab & Co., Inc. in New York City. Thomas has over 30 years of experience in the financial services industry and is licensed to provide investment advisory services in 17 states. Thomas has a strong background in securities and investment management, holding Series 7, 9, 10, 63 and 66 licenses. Previously, Thomas worked with CITIGROUP GLOBAL MARKETS INC., FIDELITY BROKERAGE SERVICES LLC, PURCELL GRAHAM INCORPORATED, FIS SECURITIES, INC., GABELLI & COMPANY, INC., and INVEST FINANCIAL CORPORATION.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NY
04/22/2021 - Present
Charles Schwab & CO., Inc. (New York City NY)
NY
05/05/2008 - 06/23/2008
CITIGROUP GLOBAL MARKETS INC. (GARDEN CITY NY)
NY
06/14/1996 - 05/07/2008
FIDELITY BROKERAGE SERVICES LLC (GARDEN CITY NY)
NY
12/20/1995 - 01/29/1996
PURCELL GRAHAM INCORPORATED (NEW YORK NY)
MA
03/12/1993 - 03/04/1994
FIS SECURITIES, INC. (BOSTON MA)
NY
04/11/1991 - 02/08/1993
GABELLI & COMPANY, INC. (RYE NY)
WI
07/18/1989 - 06/21/1990
INVEST FINANCIAL CORPORATION (APPLETON WI)
BOTH
Issued 9/12/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 4/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/16/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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