Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Handy is a financial advisor at Wells Fargo Advisors Financial Network, LLC with over 35 years of experience in the industry. Thomas's expertise includes a wide range of financial services, including portfolio management for individuals and businesses, financial planning, pension consulting, and selection of other advisors. Thomas holds Series 7, 9, 10, 24, 53, 63, 66, 52TO and 99TO licenses, as well as the SIE exam. He is registered to provide investment advisory services in North Carolina. Before joining Wells Fargo Advisors Financial Network, LLC, Thomas held positions at Wells Fargo Clearing Services, LLC, Scottrade, Inc., Charles Schwab & Co., Inc., and Waterhouse Securities, Inc.
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.
1
2
NC
06/10/2022 - Present
Wells Fargo Advisors Financial Network, LLC (CHARLOTTE NC)
NC
11/07/2002 - 06/10/2022
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
MO
07/11/2000 - 05/17/2002
SCOTTRADE, INC. (ST. LOUIS MO)
TX
07/14/1999 - 08/07/2000
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NE
11/07/1997 - 07/22/1999
WATERHOUSE SECURITIES, INC. (OMAHA NE)
CA
10/01/1986 - 11/07/1997
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NA
05/20/1986 - 07/24/1986
FIRST JERSEY SECURITIES, INC.
BOTH
Issued 07/12/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/11/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/05/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/19/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/13/1988
Series 24 - General Securities Principal Examination
BC
Issued 06/24/1987
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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