Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas J. Plate is a financial advisor with J.p. Morgan Institutional Investments Inc. located in New York, NY. Thomas has been in the financial services industry for over 10 years. Thomas is a Series 7 and 66 licensed professional and a Series 9 and 10 principal. Thomas is registered to offer securities in all 50 states.
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.
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.
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2
NY
08/16/2024 - Present
J.p. Morgan Institutional Investments Inc. (New York NY)
NY
09/29/2023 - 07/31/2024
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
05/13/2016 - 09/29/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (NEW YORK NY)
NJ
08/21/2014 - 05/17/2016
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 09/19/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/06/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/02/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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