Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Lauderdale has been in the financial industry since March 2, 1984. Thomas is a registered representative of Wells Fargo Clearing Services, LLC. Thomas has a Series 66 license and a Series 63 license for broker-dealer activities and has a Series 3, Series 7, and Series SIE license for product activities. The registered states for the individual are Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Maryland, Massachusetts, Michigan, Missouri, Montana, Nevada, New Jersey, New York, North Carolina, Oklahoma, Oregon, Pennsylvania, Texas, Utah, Vermont, Virginia, Washington, Wisconsin, and Wyoming. Thomas has been registered with the Securities and Exchange Commission (SEC) since 1994. Thomas worked with Citigroup Global Markets Inc. from November 29, 1999 to June 9, 2007. Thomas also worked with Prudential Securities Incorporated and PaineWebber Incorporated.
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
CA
12/01/2010 - Present
Wells Fargo Clearing Services, LLC (ANAHEIM CA)
CA
11/29/1999 - 06/09/2007
CITIGROUP GLOBAL MARKETS INC. (ORANGE CA)
NY
01/22/1994 - 11/29/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
12/04/1987 - 01/13/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
08/27/1984 - 01/06/1988
PRUDENTIAL-BACHE SECURITIES INC.
NA
02/24/1984 - 08/27/1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BOTH
Issued 07/25/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/27/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/1986
Series 3 - National Commodity Futures Examination
BC
Issued 02/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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