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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 Rockel is an Investment Advisor Representative with Raymond James & Associates, Inc. based in Woodland Hills, CA. Thomas has been in the industry since January 17, 2017, and has a strong track record of providing financial advice to clients. Thomas is registered in 24 states and holds Series 66, SIE and Series 7 licenses. Thomas has experience working with a variety of clients, including individuals, families, corporations and institutions. Thomas is committed to providing his clients with personalized financial advice and investment solutions that meet their unique needs.
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.
Please see note in schedule d - miscellaneous
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
CA
01/13/2023 - Present
Raymond James & Associates, Inc. (Woodland Hills CA)
CA
01/18/2017 - 05/12/2020
UBS FINANCIAL SERVICES INC. (ENCINO CA)
BOTH
Issued 07/10/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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