Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Scott is a financial advisor with over 20 years of experience in the industry. Thomas has been registered with Wells Fargo Clearing Services, LLC since 2018. Prior to that, Thomas was registered with Morgan Stanley and UBS Financial Services Inc. Thomas holds the Series 63, Series 65, Series 7 and SIE licenses. Thomas specializes in providing financial planning, portfolio management and investment consulting services to individual and institutional clients. Thomas is also a licensed real estate landlord in California.
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
CA
05/18/2018 - Present
Wells Fargo Clearing Services, LLC (SOLANA BEACH CA)
CA
06/01/2009 - 05/21/2018
MORGAN STANLEY (CARLSBAD CA)
CA
08/08/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CARLSBAD CA)
CA
01/26/2001 - 08/22/2008
UBS FINANCIAL SERVICES INC. (CARLSBAD CA)
NY
09/26/1996 - 02/05/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 12/05/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/1996
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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