Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Harden is a financial advisor who has been in the industry since 1987. Thomas is currently registered with LPL Financial LLC in New York, South Carolina and Texas. Thomas has also worked at UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Harden, Thomas Joseph, U.S. Clearing Corp., Prudential Securities Incorporated, Adler, Coleman & Co., Inc. and The Nikko Securities Co. International, Inc. Thomas holds Series 3, 7, 57TO, 63, 65 and 66 securities licenses.
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.
Consulting and other non-discretionary advisory services
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
SC
06/18/2021 - Present
LPL Financial LLC (FORT MILL SC)
NJ
10/25/2010 - 07/02/2019
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
08/23/2010 - 10/13/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
NY
11/02/2007 - 05/08/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/07/1996 - 06/01/2007
HARDEN, THOMAS JOSEPH (NEW YORK NY)
TX
05/20/1993 - 12/16/1997
U.S. CLEARING CORP. (DALLAS TX)
NY
07/02/1990 - 03/31/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/03/1989 - 07/12/1990
ADLER, COLEMAN & CO.,INC. (NEW YORK NY)
NY
01/19/1987 - 01/26/1989
THE NIKKO SECURITIES CO. INTERNATIONAL, INC. (NEW YORK NY)
NA
12/13/1985 - 11/05/1986
ATALANTA/SOSNOFF MANAGEMENT CORPORATION
NA
04/22/1985 - 10/28/1985
EDWARD A. VINER & CO., INC.
NA
09/04/1984 - 03/25/1985
DREXEL BURNHAM LAMBERT INCORPORATED
NA
10/20/1982 - 08/31/1984
BECKER PARIBAS INCORPORATED
BC
Issued 07/29/2021
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 12/31/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/14/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/06/2021
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/06/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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