Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Dawes is a registered investment advisor representative with Missionsquare Retirement. Thomas has been in the financial services industry since 2000. Thomas specializes in providing portfolio management services for individuals and businesses. Thomas is registered with the state of California as both a broker-dealer and an investment advisor. Thomas has held previous positions at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, Prudential Investment Management Services LLC, AIG SunAmerica Capital Services, Inc., WM Financial Services, Inc., NYLIFE Securities Inc., Benefitcorp Equities, Inc., and Lutheran Brotherhood Securities Corp.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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CA
01/01/2025 - Present
Missionsquare Retirement (YUCAIPA CA)
CA
01/21/2015 - 09/10/2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (PASADENA CA)
NJ
04/13/2006 - 01/15/2015
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NJ
03/21/2005 - 03/24/2006
AIG SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
CA
01/20/2005 - 03/22/2005
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NY
09/16/2003 - 01/20/2005
NYLIFE SECURITIES INC. (NEW YORK NY)
CO
02/29/2000 - 07/14/2003
BENEFITSCORP EQUITIES, INC. (GREENWOOD VILLAGE CO)
MN
02/11/2000 - 02/22/2000
LUTHERAN BROTHERHOOD SECURITIES CORP. (MINNEAPOLIS MN)
IA
Issued 10/05/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2015
Series 7 - General Securities Representative Examination
BC
Issued 02/10/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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