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 Jeffrey has been in the financial industry since 1983. Thomas has held various positions at several firms including Raymond James & Associates, First Financial Equity Corporation, and UBS Financial Services Inc.. Thomas is currently registered with Cetera Investment Advisers LLC as an Investment Advisor Representative and is licensed in Arizona and Texas.
SCOTTSDALE, AZ
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.
A percentage of the total value of assets under management is charged.
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2
AZ
06/29/2023 - Present
Cetera Investment Advisers LLC (SCOTTSDALE AZ)
AZ
07/22/2017 - 04/20/2022
FIRST FINANCIAL EQUITY CORPORATION (SCOTTSDALE AZ)
AZ
02/25/2014 - 08/15/2017
RAYMOND JAMES & ASSOCIATES, INC. (SCOTTSDALE AZ)
AZ
07/10/2013 - 09/04/2013
RAYMOND JAMES & ASSOCIATES, INC. (SCOTTSDALE AZ)
AZ
09/16/2010 - 07/02/2013
UBS FINANCIAL SERVICES INC. (PHOENIX AZ)
AZ
06/01/2009 - 10/06/2010
MORGAN STANLEY SMITH BARNEY (TEMPE AZ)
AZ
06/09/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TEMPE AZ)
AZ
06/16/2000 - 06/12/2006
WACHOVIA SECURITIES, LLC (PHOENIX AZ)
NY
03/18/1999 - 06/28/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
MN
08/18/1993 - 02/22/1999
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NJ
08/22/1990 - 08/18/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
04/25/1988 - 09/07/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
06/28/1982 - 05/09/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
BOTH
Issued 5/11/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/2/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/19/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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