Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Cotrone is a financial advisor with Stifel, Nicolaus & Company, Inc. based in Oklahoma City, Oklahoma. Thomas has been in the industry since 1986 and has experience with a variety of financial products and services. Thomas holds a variety of licenses and registrations, including Series 3, 4, 6, 7, 8, 9, 10, 24, 63, and 65. Thomas is also a registered Investment Advisor Representative in Oklahoma. In addition to serving individual clients, Thomas also provides financial planning and portfolio management services to corporations, charitable organizations, and pension and profit-sharing plans.
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
OK
09/07/2018 - Present
Stifel, Nicolaus & Company, Inc. (OKLAHOMA CITY OK)
OK
01/01/2008 - 09/11/2018
WELLS FARGO CLEARING SERVICES, LLC (OKLAHOMA CITY OK)
OK
07/15/2002 - 01/03/2008
A. G. EDWARDS & SONS, INC. (OKLAHOMA CITY OK)
NY
07/10/1987 - 08/05/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
07/09/2002 - 08/01/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NA
12/05/1986 - 06/26/1987
HERITAGE-PARK SECURITIES, LTD.
IA
Issued 06/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/26/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/04/1987
Series 4 - Registered Options Principal Examination
BC
Issued 02/17/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/1990
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
BC
Issued 11/24/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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