Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Carbeau is a financial professional with over 25 years of experience in the securities industry. Thomas has been registered with Wells Fargo Securities, LLC since December 28, 2015. Thomas previously worked at Stifel, Nicolaus & Company, Incorporated, Thomas Weisel Partners LLC, CIBC World Markets Corp., and Morgan Stanley & Co., Incorporated.
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
NY
12/28/2015 - Present
Wells Fargo Securities, LLC (New York NY)
KY
07/10/2010 - 12/28/2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED (LOUISVILLE KY)
NY
08/28/2006 - 07/20/2010
THOMAS WEISEL PARTNERS LLC (NEW YORK NY)
NY
02/06/2002 - 08/30/2006
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
01/17/2001 - 01/28/2002
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
05/09/1996 - 03/28/2000
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BC
Issued 12/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/03/2019
Series 24 - General Securities Principal Examination
BC
Issued 12/19/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 03/22/2019
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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