Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Walton has been working in the financial services industry since 2006. Thomas is currently registered with Wells Fargo Clearing Services, LLC. Thomas has also previously worked at PNC INVESTMENTS, W&S BROKERAGE SERVICES, INC., and AMERIPRISE FINANCIAL SERVICES, INC.. Thomas is licensed in Ohio and Indiana and is a Series 7, 9, 10, 66, 99TO, and SIE licensed professional. Thomas specializes in providing investment advisory services to individuals, businesses, institutions, and corporations.
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
OH
04/12/2017 - Present
Wells Fargo Clearing Services, LLC (PEPPER PIKE OH)
OH
07/11/2011 - 04/05/2017
PNC INVESTMENTS (CLEVELAND OH)
OH
01/28/2008 - 01/15/2009
W&S BROKERAGE SERVICES, INC. (WILLOUGHBY OH)
OH
05/04/2006 - 01/03/2007
AMERIPRISE FINANCIAL SERVICES, INC. (MAYFIELD HEIGHTS OH)
BOTH
Issued 10/29/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/04/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/02/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/2011
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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