Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Gatto is a financial advisor with Wells Fargo Clearing Services, LLC. Thomas has been in the financial services industry since 1999 and is registered to provide investment advice in multiple states including New York, Connecticut, New Jersey and Texas. Thomas is a Registered Principal and has earned the Series 7, 9, 10, 24, 63 and 65 licenses. Thomas is a dedicated and experienced financial advisor that provides a variety of investment and financial planning services. Previously, Thomas worked for HSBC Securities (USA) Inc. and HSBC Brokerage (USA) Inc.
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
NY
02/11/2021 - Present
Wells Fargo Clearing Services, LLC (OSSINING NY)
NY
01/01/2005 - 05/04/2007
HSBC SECURITIES (USA) INC. (TAPPAN NY)
NY
03/10/2004 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NC
08/22/2000 - 02/27/2004
AXA DISTRIBUTORS, LLC (CHARLOTTE NC)
NY
10/04/1999 - 07/13/2000
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. (NEW YORK NY)
NY
05/21/1998 - 10/26/1998
M.S. FARRELL & COMPANY, INC. (SYOSSET NY)
IA
Issued 06/29/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/06/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/26/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/1998
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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