Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Glynn is a financial advisor with over 38 years of experience in the industry. Thomas is currently registered with Robert W. Baird & Co. Inc. In the past, Thomas has been associated with UBS Financial Services Inc., Piper Jaffray & Co., Prudential Securities Incorporated, Kidder, Peabody & Co. Incorporated, Rauscher Pierce Refsnes, Inc., and Shearson Lehman Brothers Inc. Thomas holds several licenses and certifications, including Series 3, 7, 31, 63, and 65. Thomas is also a registered investment advisor in Arizona, Florida, and Texas.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
AZ
02/28/2014 - Present
Robert W. Baird & Co. Inc. (SCOTTSDALE AZ)
AZ
08/12/2006 - 03/10/2014
UBS FINANCIAL SERVICES INC. (SCOTTSDALE AZ)
AZ
08/25/2000 - 08/12/2006
PIPER JAFFRAY & CO. (SCOTTSDALE AZ)
NY
07/08/1994 - 08/31/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/07/1990 - 07/15/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
TX
08/06/1985 - 12/13/1990
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
07/21/1983 - 08/14/1985
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 01/30/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 08/29/1983
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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