Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Soden is a financial advisor registered with Wells Fargo Clearing Services, LLC. Thomas has been in the financial industry since 1971. He has a wide range of experience, having worked for several prominent firms, including Morgan Stanley, Citigroup Global Markets Inc., and Lehman Brothers Inc. Thomas holds several licenses, including the Series 7, Series 63, and Series 66. He specializes in providing financial planning, portfolio management, and investment consulting services to individual and institutional clients. Thomas is committed to helping his clients achieve their financial goals.
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
CA
09/16/2016 - Present
Wells Fargo Clearing Services, LLC (CORTE MADERA CA)
CA
06/01/2009 - 09/30/2016
MORGAN STANLEY (SAN RAFAEL CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN RAFAEL CA)
NY
03/26/1982 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/20/1982 - 10/10/1983
DAVIS, SKAGGS & CO., INC.
NA
02/24/1978 - 04/30/1982
DEAN WITTER REYNOLDS INC.
NA
05/16/1973 - 02/24/1978
DEAN WITTER & CO. INCORPORATED
NA
01/14/1971 - 05/16/1973
DEAN WITTER & CO. INCORPORATED
BC
Issued 01/18/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/1991
PC - AMEX Put and Call Exam
BC
Issued 12/31/1970
Series 000 - General Securities Principal Examination
BC
Issued 12/31/1970
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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