Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Haggerty is a financial advisor with over 36 years of experience in the industry. Thomas is currently registered with Wells Fargo Advisors Financial Network, LLC and has branch offices in Troy, OH, Brunswick, OH, and Fort Meyers, FL. Thomas has previously worked for a number of other financial institutions, including Wells Fargo Clearing Services, LLC, Morgan Stanley, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., and Lehman Brothers Inc. Thomas holds a number of licenses and certifications, including Series 3, Series 7, Series 63, and Series 65. Thomas specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals. Thomas is committed to providing his clients with the highest level of service and expertise.
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.
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.
Investment consulting services to institutional clients
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.
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2
OH
04/01/2024 - Present
Wells Fargo Advisors Financial Network, LLC (TROY OH)
OH
01/10/2014 - 04/01/2024
WELLS FARGO CLEARING SERVICES, LLC (WESTLAKE OH)
OH
06/01/2009 - 01/22/2014
MORGAN STANLEY (WESTLAKE OH)
OH
11/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WESTLAKE OH)
OH
07/31/1993 - 11/15/2007
CITIGROUP GLOBAL MARKETS INC. (WESTLAKE OH)
NY
05/27/1987 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 08/25/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/26/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/1987
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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