Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Joseph Duffner is an investment advisor representative, registered with Osaic Wealth, Inc. located in PALOS HEIGHTS, IL. Thomas is also registered in Texas as an investment advisor representative. Thomas has been in the securities industry since February 2, 1986, and has worked for Woodbury Financial Services, Inc. and AXA Advisors, LLC. Thomas has experience in providing financial planning, pension consulting, portfolio management for individuals, and portfolio management for businesses. Thomas also offers educational seminars and selection of other advisers. The firm, Osaic Wealth, Inc. has offices in Scottsdale, Arizona. The firm serves a variety of clients, including individuals, high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations, and state or municipal government entities. The firm provides a variety of services, including financial planning, portfolio management, and educational seminars.
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.
A percentage of the total value of assets under management is charged.
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2
IL
01/19/2024 - Present
Osaic Wealth, Inc. (PALOS HEIGHTS IL)
IL
06/09/2006 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (PALOS HEIGHTS IL)
IL
06/01/2005 - 06/16/2006
AXA ADVISORS, LLC (OAK BROOK IL)
NY
02/03/1986 - 06/01/2005
MONY SECURITIES CORPORATION (NEW YORK NY)
IA
Issued 10/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/08/1999
Series 7 - General Securities Representative Examination
BC
Issued 12/15/1987
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 01/31/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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