Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Luong is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Thomas has been in the financial industry since 2012 and has held previous roles with Ameriprise Financial Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and LPL Financial LLC. Thomas is registered in several states, including California, Texas, and more. Thomas holds the Series 7, Series 24, Series 66, SIE, and Series 99TO securities licenses.
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
10/25/2023 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
10/22/2021 - 08/09/2022
AMERIPRISE FINANCIAL SERVICES, LLC (San Diego CA)
CA
03/06/2017 - 11/08/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN DIEGO CA)
CA
03/26/2012 - 12/31/2016
LPL FINANCIAL LLC (LA JOLLA CA)
BOTH
Issued 06/11/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/12/2012
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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