Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Walling is a financial advisor with Cetera Investment Advisers LLC in Albany, NY. Thomas has been in the financial services industry since 2000. Thomas is registered in 9 states: California, Connecticut, Florida, Massachusetts, New Hampshire, New Jersey, New York, North Carolina. Thomas holds the Series 63, 7, 24 and SIE licenses. Thomas is also a Certified Financial Planner. Thomas offers a variety of services including financial planning, pension consulting, and portfolio management for both businesses and individuals.
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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NY
06/29/2023 - Present
Cetera Investment Advisers LLC (ALBANY NY)
NY
04/29/2009 - 09/03/2013
TOWER SQUARE SECURITIES, INC. (ALBANY NY)
NY
02/26/2008 - 05/01/2009
METLIFE SECURITIES INC. (LATHAM NY)
NY
10/10/2003 - 02/22/2008
TOWER SQUARE SECURITIES, INC. (ALBANY NY)
MA
01/03/2002 - 09/15/2003
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
01/03/2002 - 09/15/2003
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
MN
01/12/2000 - 12/11/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/12/2000 - 12/11/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 1/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/20/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/11/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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