Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Spay is an investment advisor representative associated with Cambridge Investment Research Advisors, Inc. Thomas has been in the industry since 1969 and holds a Series 63, 7TO, SIE, 6 and 1 licenses. Thomas is registered in Iowa. Thomas has experience with a variety of client types including high-net-worth individuals, corporations and other businesses, pension and profit sharing plans, charitable organizations, state or municipal government entities, and individuals other than high-net-worth. Thomas’s previous employers include MML Investors Services, LLC, G.R. Phelps & Co., Inc., John Hancock Mutual Life Insurance Company, and John Hancock Distributors, 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.
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.
Solicitation fees from 3rd party money managers
1
2
IA
03/18/2013 - Present
Cambridge Investment Research Advisors, Inc. (DAVENPORT IA)
IA
03/01/1996 - 12/31/2012
MML INVESTORS SERVICES, LLC (DAVENPORT IA)
NA
03/03/1980 - 03/01/1996
G. R. PHELPS & CO., INC.
NA
08/18/1971 - 04/24/1980
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
NA
03/04/1969 - 04/24/1980
JOHN HANCOCK DISTRIBUTORS, INC.
BC
Issued 12/07/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 02/27/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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