Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Dowd is a financial advisor with over 20 years of experience in the industry. Thomas is currently registered with LPL Financial LLC in Madison, Wisconsin. Thomas has previously worked with CUNA Brokerage Services, Inc., Forethought Distributors, LLC, SunTrust Investment Services, Inc., The Huntington Investment Company, Citizens Financial Services Inc., Liberty Funds Distributor, Inc. and Keyport Financial Services Corp. Thomas is a Series 6, 7, 24, 26, 52TO, 53, 63 and 66 licensed advisor. Thomas specializes in providing financial planning, portfolio management for businesses and individuals, and educational seminars.
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.
1
2
WI
05/18/2022 - Present
LPL Financial LLC (MADISON WI)
WI
08/21/2018 - 05/18/2022
CUNA BROKERAGE SERVICES, INC. (Madison WI)
IA
09/01/2017 - 02/05/2018
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
CT
12/08/2014 - 09/02/2015
FORETHOUGHT DISTRIBUTORS, LLC (HARTFORD CT)
FL
05/14/2002 - 10/31/2014
SUNTRUST INVESTMENT SERVICES, INC. (SARASOTA FL)
OH
01/31/2000 - 02/26/2002
THE HUNTINGTON INVESTMENT COMPANY (COLUMBUS OH)
RI
08/19/1999 - 11/03/1999
CITIZENS FINANCIAL SERVICES INC. (JOHNSTON RI)
MA
07/15/1999 - 07/30/1999
LIBERTY FUNDS DISTRIBUTOR, INC. (BOSTON MA)
MA
06/21/1996 - 07/15/1999
KEYPORT FINANCIAL SERVICES CORP. (WELLESLEY HILLS MA)
BOTH
Issued 10/20/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2011
Series 4 - Registered Options Principal Examination
BC
Issued 09/08/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/22/2011
Series 24 - General Securities Principal Examination
BC
Issued 07/08/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2011
Series 7 - General Securities Representative Examination
BC
Issued 06/20/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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