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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Conway is an investment advisor representative with Commonwealth Financial Network. Thomas has over 35 years of experience in the financial services industry. Thomas is registered with the Securities and Exchange Commission as an investment advisor representative and with the Financial Industry Regulatory Authority (FINRA) as a general securities representative. Thomas holds the Series 7, 24, 51, 63, and 66 licenses and the SIE certification. Thomas has worked for several financial institutions, including Royal Alliance Associates, Inc., and Diversified Securities, Incorporated. Thomas's specialties include financial planning, portfolio management, and pension consulting. Thomas currently practices in Anchorage, KY.
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.
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
KY
12/05/2022 - Present
Commonwealth Financial Network (Anchorage KY)
CA
01/15/1993 - 02/11/2009
ROYAL ALLIANCE ASSOCIATES, INC. (ANAHEIM HILLS CA)
CA
08/21/1985 - 01/23/1993
DIVERSIFIED SECURITIES, INCORPORATED (SEAL BEACH CA)
BOTH
Issued 08/04/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/18/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 02/12/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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