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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 Dwyer is a financial advisor currently registered with Wells Fargo Clearing Services, LLC in Florham Park, New Jersey. Thomas has been in the industry since 1997 and has a history of working with several prominent financial institutions including Morgan Stanley Smith Barney, Citigroup Global Markets Inc., RBC Dain Rauscher Inc., and TD Waterhouse Investor Services, Inc.
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.
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.
Investment consulting services to institutional clients
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
NJ
11/14/2024 - Present
Wells Fargo Clearing Services, LLC (FLORHAM PARK NJ)
NJ
06/01/2009 - 03/08/2012
MORGAN STANLEY SMITH BARNEY (FLORHAM PARK NJ)
NJ
09/01/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (FLORHAM PARK NJ)
NJ
08/29/2002 - 09/19/2006
RBC DAIN RAUSCHER INC. (FLORHAM PARK NJ)
NE
12/24/1997 - 08/20/2002
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
IA
Issued 09/12/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/1997
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 08/11/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 12/03/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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