Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Lin is a financial professional with over 9 years of experience in the financial services industry. Thomas has a strong background in investment banking and securities trading, having worked at several firms including Roth Capital Partners, LLC and Finalis Securities LLC. Thomas is currently registered with Ba Securities, LLC and holds Series 63, SIE, and Series 79 licenses. Thomas is committed to providing clients with personalized financial advice and guidance.
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.
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.
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2
PA
05/16/2024 - Present
BA Securities, LLC (W. CONSHOHOCKEN PA)
CA
03/04/2024 - 05/28/2024
ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)
NV
05/09/2023 - 04/12/2024
FINALIS SECURITIES LLC (Las Vegas NV)
CA
06/11/2014 - 01/11/2023
VISTA POINT ADVISORS, LLC (san francisco CA)
BC
Issued 07/01/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/11/2014
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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