Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Howard Arthur is a registered representative and investment adviser with a.g.p. / Alliance Global Partners and has been in the industry since March 1995. Thomas is licensed in 39 states and has experience in financial planning, portfolio management, and selection of other advisors. He is also licensed to provide advisory services to businesses, individuals, 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.
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.
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.
Sub-adviser of pooled investment vehicle charges a performance f
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2
CA
10/08/2010 - Present
A.g.p. / Alliance Global Partners (NEWPORT BEACH CA)
CA
01/11/2010 - 03/04/2010
CHASE INVESTMENT SERVICES CORP. (SEAL BEACH CA)
CA
04/09/2009 - 12/15/2009
U.S. BANCORP INVESTMENTS, INC. (HUNTINGTON BEACH CA)
CA
02/01/2007 - 03/23/2009
WACHOVIA SECURITIES, LLC (IRVINE CA)
CA
01/14/1998 - 02/01/2007
ATLAS SECURITIES, LLC (LONG BEACH CA)
TX
08/22/1996 - 07/01/1997
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
CA
08/29/1995 - 08/26/1996
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
MA
06/22/1988 - 09/13/1989
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
06/22/1988 - 09/13/1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 12/12/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/02/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/27/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/2008
Series 3 - National Commodity Futures Examination
BC
Issued 04/13/1995
Series 7 - General Securities Representative Examination
BC
Issued 06/20/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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FINRA
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Nasdaq Stock Market
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