Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Moccia is a financial advisor with over 29 years of experience in the financial services industry. Thomas is registered with Ameriprise Financial Services, LLC and holds Series 63, 65, 7, 8, 9, 10, and SIE licenses. Thomas has been with Ameriprise since 2009 and has prior experience with Ameriprise Advisor Services, Inc. Thomas specializes in asset allocation services, financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for businesses and individuals.
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.
Asset allocation services
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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CA
02/20/2010 - Present
Ameriprise Financial Services, LLC (WESTLAKE VILLAGE CA)
CA
03/28/1994 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (WOODLAND HILLS CA)
IA
Issued 02/27/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/12/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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