Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Wadsworth is an investment advisor representative with over 30 years of experience in the industry. Thomas is currently registered with RBC Capital Markets, LLC in South Dakota and Texas. Thomas has previously held positions at DAIN RAUSCHER INCORPORATED, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, FIDELITY BROKERAGE SERVICES, INC. and OLSEN PAYNE & COMPANY. Thomas holds a variety of licenses and certifications, including Series 7, Series 10, Series 31, Series 63, and Series 65. Thomas specializes in providing investment advice to individuals, businesses, pension and profit-sharing plans, insurance companies, charitable organizations, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
SD
02/05/2015 - Present
RBC Capital Markets, LLC (SIOUX FALLS SD)
NA
10/07/1996 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NY
08/04/1994 - 10/15/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
RI
04/06/1990 - 07/13/1994
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
UT
04/06/1990 - 02/05/1993
OLSEN PAYNE & COMPANY (SALT LAKE CITY UT)
IA
Issued 08/05/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/03/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/25/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 11/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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