Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas M. Fleming is a financial advisor with GWN Securities Inc. Thomas is a highly experienced professional in the financial industry, with over 17 years of experience. Thomas began their career in the financial industry on September 26, 2006. Thomas has previously been affiliated with MUTUAL OF OMAHA INVESTOR SERVICES, INC., TRANSAMERICA CAPITAL, INC., GWFS EQUITIES, INC., VOYA FINANCIAL PARTNERS, LLC, VOYA FINANCIAL ADVISORS, INC., ING INVESTMENT ADVISORS, LLC, and CITISTREET EQUITIES LLC. Thomas currently holds licenses for Series 6, Series 26, and Series 63 securities exams.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
In lieu of hourly fee, ia can charge a flat fee
1
2
PA
02/26/2024 - Present
GWN Securities Inc. (WAYNE PA)
NE
12/14/2020 - 11/15/2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (OMAHA NE)
CO
10/03/2018 - 01/03/2019
TRANSAMERICA CAPITAL, INC. (DENVER CO)
CO
09/22/2015 - 09/12/2018
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
NY
09/02/2008 - 08/21/2015
VOYA FINANCIAL PARTNERS, LLC (NEW YORK NY)
NY
05/29/2012 - 12/19/2014
VOYA FINANCIAL ADVISORS, INC. (NEW YORK NY)
NJ
09/01/2005 - 08/28/2008
ING INVESTMENT ADVISORS, LLC (SOMERSET NJ)
NJ
05/13/2004 - 09/01/2005
CITISTREET EQUITIES LLC (SOMERSET NJ)
BC
Issued 03/30/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/30/2008
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 09/12/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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