Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Roberts is a financial professional with over 5 years of experience in the industry. Thomas holds the Series 7, Series 63, and SIE licenses. Thomas is currently registered with Axos Clearing LLC in Centennial, CO and has been registered with this firm since August 2023. Previously, Thomas was registered with M.S. Howells & Co. in Scottsdale, AZ from January 2023 to June 2023 and TD Ameritrade, Inc. in Southlake, TX from September 2018 to January 2021. Thomas is registered in the state of Texas.
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.
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.
1
2
CO
08/14/2023 - Present
Axos Clearing LLC (CENTENNIAL CO)
AZ
01/19/2023 - 06/09/2023
M. S. HOWELLS & CO. (SCOTTSDALE AZ)
TX
09/28/2018 - 01/26/2021
TD AMERITRADE, INC. (Southlake TX)
IA
Issued 12/11/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2018
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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