Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Michael Chavez is a financial professional with over 20 years of experience in the industry. Thomas holds multiple licenses and designations, including Series 7, 63, 24, 27, and 65. Thomas is currently registered with Mariner Independent as a Registered Representative and Investment Advisor Representative. Thomas has previously worked with firms like SAGEPOINT FINANCIAL, INC., SUNAMERICA SECURITIES, INC., and NEVWEST SECURITIES CORPORATION. Thomas specializes in providing financial planning, portfolio management, and pension consulting services to individuals, corporations, and charitable organizations.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
01/01/2024 - Present
Mariner Independent (Roseville CA)
CA
10/31/2005 - 05/07/2010
SAGEPOINT FINANCIAL, INC. (ROSEVILLE CA)
AZ
02/24/2003 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NV
01/27/2000 - 01/22/2003
NEVWEST SECURITIES CORPORATION (LAS VEGAS NV)
IA
Issued 12/28/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/2001
Series 27 - Financial and Operations Principal Examination
BC
Issued 02/07/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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