Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Jess Smith is a securities professional with experience in the financial services industry. Thomas has been registered with the Financial Industry Regulatory Authority (FINRA) since 2022 and currently works as a registered representative for Brown, Gibbons, Lang & Co. Securities, LLC. Prior to that, Thomas worked for Guggenheim Securities, LLC and Duff & Phelps Securities LLC. Thomas holds Series 63, SIE, and Series 79 licenses and is registered in Illinois.
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.
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.
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2
IL
07/01/2022 - Present
Brown, Gibbons, Lang & Co. Securities, LLC (CHICAGO IL)
IL
03/16/2020 - 06/08/2022
GUGGENHEIM SECURITIES, LLC (CHICAGO IL)
IL
09/25/2018 - 04/03/2020
DUFF & PHELPS SECURITIES LLC (CHICAGO IL)
BC
Issued 10/29/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2018
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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