Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Shoen is a financial advisor at Northwestern Mutual Investment Services, LLC. Thomas Shoen has been in the industry since 2001 and has worked for several firms, including MML Investors Services, LLC, NYLIFE Securities LLC, Wall Street Financial Group, Inc., HSBC Securities (USA) Inc., MML Investors Services, Inc., M&T Securities, Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company. Thomas Shoen is registered with FINRA and holds the Series 7, Series 9, Series 10, Series 24, Series 52, Series 53, Series 66, and Series 99 licenses. Thomas Shoen also has a state license in New Jersey. Thomas Shoen specializes in providing investment research and referrals to other advisors. Thomas Shoen is also a USA Hockey referee.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
NY
06/02/2014 - Present
Northwestern Mutual Investment Services, LLC (E SYRACUSE NY)
NY
07/19/2013 - 04/03/2014
MML INVESTORS SERVICES, LLC (SYRACUSE NY)
NY
04/26/2013 - 07/02/2013
NYLIFE SECURITIES LLC (DEWITT NY)
NY
01/11/2013 - 03/21/2013
WALL STREET FINANCIAL GROUP, INC. (FAIRPORT NY)
NY
06/28/2005 - 07/16/2012
HSBC SECURITIES (USA) INC. (OSWEGO NY)
MA
06/12/2002 - 06/15/2005
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
MD
06/04/2001 - 12/12/2001
M&T SECURITIES, INC. (BALTIMORE MD)
MN
08/07/2000 - 06/01/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
08/07/2000 - 06/01/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 07/31/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/25/2014
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/08/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/01/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/29/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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