Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Metcalf is a financial advisor with over 24 years of experience in the financial services industry. Thomas is currently registered with RBC Capital Markets, LLC and is located in Minneapolis, Minnesota. Thomas has previously worked for PRUCO SECURITIES, LLC., AMERIPRISE FINANCIAL SERVICES, INC., and AMERICAN ENTERPRISE INVESTMENT SERVICES INC. Thomas is a Series 7, Series 24, Series 63, SIE, and Series 99TO licensed professional. Thomas provides portfolio management for individuals, businesses, and pooled investment vehicles. Thomas specializes in public and private employee benefit plans, endowment funds, foundations, family trusts, and various capital and operating funds.
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
MN
06/09/2023 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
NJ
02/20/2020 - 04/28/2023
PRUCO SECURITIES, LLC. (NEWARK NJ)
MN
05/23/2018 - 02/07/2020
AMERIPRISE FINANCIAL SERVICES, INC. (Minneapolis MN)
MN
01/03/2017 - 02/07/2020
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. (Minneapolis MN)
MN
02/18/2011 - 01/18/2017
AMERIPRISE FINANCIAL SERVICES, INC. (Minneapolis MN)
MN
05/07/2008 - 05/08/2009
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
10/23/1998 - 05/07/2008
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. (MINNEAPOLIS MN)
BC
Issued 11/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/2007
Series 24 - General Securities Principal Examination
BC
Issued 08/01/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1998
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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