Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Jerome Schmidt is a registered representative with New York Life Investment Management LLC in Moraga, CA. Thomas has been in the financial services industry since August 11, 2007. Previously, Thomas was with MBSC Securities Corporation, Cetera Advisor Networks LLC, Foreside Fund Services, LLC and Putnam Retail Management Limited Partnership. Thomas holds the Series 63, 66, 7, 9, 10 and 24 licenses. Thomas is currently registered with the state of California.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
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CA
04/17/2024 - Present
NEW York Life Investment Management LLC (Moraga CA)
MA
03/14/2022 - 01/24/2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
MI
03/17/2020 - 02/23/2022
FORESIDE FUND SERVICES, LLC (Birmingham MI)
CA
08/01/2019 - 02/21/2020
CETERA ADVISOR NETWORKS LLC (WALNUT CREEK CA)
NY
02/15/2007 - 06/07/2019
MBSC SECURITIES CORPORATION (New York NY)
BOTH
Issued 04/09/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/26/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/14/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/29/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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