Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Neess has been in the financial services industry since October 24, 1989. Thomas is a Registered Representative with Private Advisor Group, LLC, and has been with the firm since October 1, 2015. Thomas is also a Registered Investment Advisor. Thomas has held previous positions with Sterne Agee Financial Services, Inc., WRP Investments, Inc., PaineWebber Incorporated, and Lehman Brothers Inc. Thomas is licensed in Arizona, California, Colorado, Florida, Illinois, Indiana, Kentucky, Maryland, Massachusetts, Nevada, North Carolina, Ohio, Texas, Utah, and Wisconsin.
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.
Solicitation/referral
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.
Solicitor/referral fees
1
2
OH
10/01/2015 - Present
Private Advisor Group, LLC (Mason OH)
OH
09/12/2014 - 10/08/2015
STERNE AGEE FINANCIAL SERVICES, INC. (MASON OH)
OH
01/14/1997 - 09/12/2014
WRP INVESTMENTS, INC. (MASON OH)
NJ
09/24/1991 - 01/20/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/25/1989 - 10/14/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 12/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/09/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/03/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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