Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Lee Utter is a financial advisor with Charles Schwab & CO., Inc. based in Westlake, TX. Thomas has been a financial professional since 1996 and has experience with a variety of financial institutions including FRANKLIN/TEMPLETON DISTRIBUTORS, INC., VANGUARD MARKETING CORPORATION, A. G. EDWARDS & SONS, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and LEW LIEBERBAUM & CO., INC. Thomas holds FINRA Series 6, 7, 63, 65 and SIE licenses and is registered to sell securities in all 50 states. Thomas specializes in providing financial advice and portfolio management services to individual clients.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
01/20/2023 - Present
Charles Schwab & CO., Inc. (Westlake TX)
GA
07/07/2021 - 10/25/2021
FRANKLIN DISTRIBUTORS, LLC (Johns creek GA)
CA
01/27/2020 - 07/07/2021
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
PA
10/03/2006 - 03/20/2017
VANGUARD MARKETING CORPORATION (MALVERN PA)
CT
05/04/1998 - 10/05/2006
A. G. EDWARDS & SONS, INC. (NORWALK CT)
NY
03/11/1997 - 04/17/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/13/1996 - 01/22/1997
LEW LIEBERBAUM & CO., INC. (GARDEN CITY NY)
BC
Issued 02/07/2020
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/27/2020
Series 7TO - General Securities Representative Examination
BC
Issued 03/20/2017
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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