Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Carlson is a financial advisor who has been in the industry since 1989. He is currently registered with LPL Financial LLC and has also been registered with several other firms in the past. Thomas has a broad range of experience and holds licenses in several states. He is able to provide a variety of financial services, including financial planning, portfolio management for individuals and businesses, and consulting services.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
10/14/2021 - Present
LPL Financial LLC (WALNUT CREEK CA)
CA
03/22/2013 - 05/14/2019
CETERA ADVISORS LLC (WALNUT CREEK CA)
CA
10/12/2012 - 03/21/2013
AMERIPRISE FINANCIAL SERVICES, INC. (WALNUT CREEK CA)
CA
06/09/2005 - 10/25/2012
CENTAURUS FINANCIAL, INC. (WALNUT CREEK CA)
AZ
12/11/2001 - 06/10/2005
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
CA
05/19/1998 - 12/19/2001
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
CA
10/28/1997 - 06/03/1998
TRANSAMERICA FINANCIAL RESOURCES, INC. (LOS ANGELES CA)
NJ
04/19/1989 - 10/17/1997
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
04/19/1989 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 06/02/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/17/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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