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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas William Shaw is a financial advisor with over 20 years of experience in the industry. Thomas has held positions at several well-known firms, including Morgan Stanley & Co. Incorporated, SunTrust Investment Services, Inc. and Northwestern Mutual Investment Services, Inc. Thomas is currently registered as a Registered Representative and Investment Advisor Representative with Wealthpenn.comllc. Thomas is a CERTIFIED FINANCIAL PLANNER™ professional and holds several licenses, including the Series 7, Series 6, Series 31, and Series 66 exams. Thomas specializes in providing a wide range of financial services to individual investors and businesses.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
01/26/2015 - Present
Wealthpenn.comllc (Ponte Vedra Beach FL)
FL
09/05/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (JACKSONVILLE FL)
FL
03/12/2002 - 09/19/2008
SUNTRUST INVESTMENT SERVICES, INC. (JACKSONVILLE FL)
NA
09/29/1992 - 01/31/1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.
BOTH
Issued 12/9/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/17/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 3/11/2002
Series 7 - General Securities Representative Examination
BC
Issued 9/28/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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