Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Schroeder is a financial professional with over 35 years of experience in the financial services industry. Thomas is a registered representative of Wells Fargo Clearing Services, LLC and has been with the firm since January 2011. Prior to joining Wells Fargo, Thomas worked at Wachovia Securities, LLC and Prudential Securities Incorporated. Thomas has a strong background in providing financial advice to individuals, businesses, and institutional clients. He holds several industry licenses and certifications including Series 7, Series 31, Series 63, and Series 65. Thomas is dedicated to providing personalized financial planning and investment management services to his clients.
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
CA
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
07/01/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN DIEGO CA)
MO
07/01/2003 - 07/07/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
05/26/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/19/1985 - 06/05/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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