Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Caulfield is a financial advisor with over 20 years of experience in the industry. Thomas has a strong background in securities, having held positions with a number of firms, including Chartwell TSC Securities Corp., OppenheimerFunds Distributor, Inc., and Putnam Mutual Funds Corp. Currently, Thomas is affiliated with Raymond James & Associates, Inc. He has a Series 6, Series 7, and Series 63 license.
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.
Please see note in schedule d - miscellaneous
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
FL
08/12/2022 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
PA
03/16/2021 - 07/13/2022
CHARTWELL TSC SECURITIES CORP. (PITTSBURGH PA)
CO
05/14/1998 - 05/27/2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)
MA
01/15/1997 - 03/06/1998
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
BC
Issued 02/20/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2000
Series 7 - General Securities Representative Examination
BC
Issued 01/14/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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