Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Cartin is a financial advisor with Wells Fargo Clearing Services, LLC, a large firm with over $10 billion to $50 billion in assets under management. Thomas has been in the industry since 2003 and has a broad range of experience working with individuals, businesses, and institutions. Thomas offers a variety of financial planning services, including investment consulting, portfolio management, and retirement planning. Thomas is registered with FINRA and the SEC and holds Series 6, 7TO, 63, and 65 licenses. Thomas currently holds registrations in Pennsylvania and New Jersey.
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.
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.
Investment consulting services to institutional clients
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.
1
2
PA
05/08/2024 - Present
Wells Fargo Clearing Services, LLC (CHESTERBROOK PA)
PA
09/20/2023 - 03/27/2024
PRUCO SECURITIES, LLC. (Warrington PA)
PA
11/19/2021 - 07/14/2023
TRUIST INVESTMENT SERVICES, INC. (WARMINSTER PA)
PA
02/10/2016 - 11/17/2021
CITIZENS SECURITIES, INC. (DOYLESTOWN PA)
PA
06/29/2005 - 01/22/2016
PNC INVESTMENTS (WILLOW GROVE PA)
NY
05/10/2004 - 11/26/2004
IFMG SECURITIES, INC. (PURCHASE NY)
NY
11/21/2003 - 05/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MA
08/08/2002 - 10/03/2003
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
08/08/2002 - 10/03/2003
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 01/30/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/02/2018
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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