Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Gordon Poteat is a registered representative with Morgan Stanley and has been in the financial industry since 1996. Thomas has experience working with high-net-worth individuals, corporations, and institutions. Thomas has a diverse background in the industry, having previously worked at Citigroup Global Markets Inc., Dupasquier & Co., Inc., Laidlaw Global Securities, Inc., and Oppenheimer & Co., Inc. Thomas is registered in multiple states, including New York, South Carolina, and Texas, and holds a variety of licenses and certifications, including the Series 7, Series 31, and Series 65.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
05/18/2020 - Present
Morgan Stanley (New York NY)
NY
11/21/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GARDEN CITY NY)
NY
04/04/2003 - 11/14/2003
DUPASQUIER & CO., INC. (NEW YORK NY)
NY
04/15/1999 - 05/07/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
05/27/1997 - 04/27/1999
LAIDLAW GLOBAL SECURITIES, INC. (NEW YORK NY)
NY
06/03/1996 - 05/15/1997
OPPENHEIMER & CO., INC. (NEW YORK NY)
IA
Issued 11/14/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 05/31/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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