Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Parlon is an investment advisor representative at Cambridge Investment Research Advisors, Inc.. He has been in the securities industry since 2001. Thomas has worked for several firms over the years, including NYLIFE SECURITIES LLC, AURIGA USA, LLC, SOLEIL SECURITIES CORPORATION, STANFORD GROUP COMPANY, WACHOVIA CAPITAL MARKETS, LLC, WACHOVIA SECURITIES, LLC, PIONEER FUNDS DISTRIBUTOR, INC., and L.C. WEGARD & CO., INC.. He is currently registered with the state of Massachusetts as an investment advisor representative. He is also registered with the state of California, Connecticut, Massachusetts, New Hampshire, New York, and Rhode Island as a broker-dealer. Thomas is series 3, 7, 55, and 63 and 65 licensed.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
Solicitation fees from 3rd party money managers
1
2
MA
08/24/2021 - Present
Cambridge Investment Research Advisors, Inc. (West Roxbury MA)
MA
05/21/2012 - 08/27/2021
NYLIFE SECURITIES LLC (WALTHAM MA)
MA
06/14/2010 - 03/29/2011
AURIGA USA, LLC (BOSTON MA)
MA
04/28/2009 - 05/18/2010
SOLEIL SECURITIES CORPORATION (BOSTON MA)
MA
12/01/2008 - 03/24/2009
STANFORD GROUP COMPANY (BOSTON MA)
NC
07/01/2003 - 11/05/2008
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
04/06/2001 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
MA
06/21/1996 - 11/06/1996
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
NY
08/01/1995 - 09/12/1995
L.C. WEGARD & CO., INC. (NEW YORK NY)
IA
Issued 11/06/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2007
Series 3 - National Commodity Futures Examination
BC
Issued 10/06/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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