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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Michael Klippstein is a financial advisor with over 30 years of experience in the financial services industry. He is currently registered with Morgan Stanley and has previously worked for Morgan Stanley Smith Barney, Morgan Stanley Private Bank, National Association, McDonald Investments Inc., and Prudential Securities Incorporated. Thomas Michael Klippstein holds the Series 6, 7, 31, and 63 licenses, as well as the SIE exam. Thomas Michael Klippstein is also a registered Investment Advisor. He provides investment advice to a variety of clients, including individuals, high-net-worth individuals, corporations, charitable organizations, and insurance companies.
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.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
MI
12/15/2009 - Present
Morgan Stanley (Grosse Pointe Farms MI)
MI
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (GROSSE POINTE FARMS MI)
MI
02/18/2005 - 04/02/2007
MORGAN STANLEY DW INC. (GROSSEPOINTE FARMS MI)
OH
07/22/2003 - 03/01/2005
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
OH
09/05/1995 - 07/02/2003
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
NY
05/16/1994 - 09/22/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
AZ
10/17/1991 - 05/17/1994
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
IA
Issued 11/05/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 04/08/1992
Series 7 - General Securities Representative Examination
BC
Issued 10/04/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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