Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Montgomery Carter is a registered representative with Jonestrading and has been in the securities industry since July 28, 1994. He holds Series 7, 24, 55, 57TO and 63 licenses. Thomas is licensed in 12 states. Thomas Carter is located in Encino, California.
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.
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.
1
2
CA
07/29/1994 - Present
Jonestrading (Encino CA)
BC
Issued 08/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/25/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/28/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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