Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Mulherin is a financial advisor with Stifel, Nicolaus & Company, Inc. He has been in the financial services industry since 1997. Thomas has a Series 6, 7, 31 and 63 license as well as a Series 65. Thomas has experience with portfolio management for individuals, businesses, and pooled investment vehicles. He has provided financial planning services since 2006. Thomas is registered with the following states: Alabama, Arizona, Arkansas, California, Colorado, Delaware, Florida, Illinois, Kansas, Louisiana, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Oklahoma, South Carolina, Tennessee, Texas, Virginia, Washington, and Wisconsin. Thomas is also a member of the St. John's Lutheran Church Endowment Committee and the Southwestern Illinois College Foundation Board.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
10/22/2009 - Present
Stifel, Nicolaus & Company, Inc. (O'FALLON IL)
NY
01/01/1999 - 02/06/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
MO
05/05/1997 - 06/04/1999
MAGNA INVESTMENTS (ST. LOUIS MO)
IA
Issued 02/11/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 01/28/1999
Series 7 - General Securities Representative Examination
BC
Issued 05/02/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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