Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Lord is an Investment Adviser Representative at Cetera Investment Advisers LLC, a registered investment advisor. Thomas has been in the securities industry since 2002. He has experience working at Wells Fargo Clearing Services, LLC, Fidelity Brokerage Services LLC and Cetera Advisors LLC. Thomas is licensed in New Jersey and is a Series 63, Series 66, Series 7 and SIE license holder. Thomas is a member of FINRA and is subject to their regulations. Thomas has specializations in retirement planning, college savings, and investment strategies. He is also an investment advisory representative for Rockdale Financial Services, LLC, a separate investment advisory business.
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.
1
2
NJ
03/21/2024 - Present
Cetera Investment Advisers LLC (EATONTOWN NJ)
NJ
06/20/2019 - 03/22/2021
WELLS FARGO CLEARING SERVICES, LLC (OAKHURST NJ)
NJ
07/01/2015 - 10/04/2017
FIDELITY BROKERAGE SERVICES LLC (SHREWSBURY NJ)
NJ
10/21/2004 - 11/03/2014
CETERA ADVISORS LLC (EATONTOWN NJ)
NJ
07/11/2002 - 11/20/2002
BERGEN CAPITAL, INC. (HASBROUCK HEIGHTS NJ)
BOTH
Issued 08/31/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/20/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/04/2017
SIE - Securities Industry Essentials Examination
BC
Issued 07/10/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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