Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Newman Rossie is a financial advisor with Bluerock Capital Markets LLC. Thomas has been in the financial services industry since 2011 and is registered to conduct business in Alabama, Arkansas, Louisiana, Mississippi and Tennessee. Thomas's experience includes working for Preferred Capital Securities, LLC, Raymond James & Associates, Inc., and Invesco Distributors, Inc. Thomas holds FINRA Series 63, 65, 7, and SIE licenses.
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.
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2
CA
07/14/2017 - Present
Bluerock Capital Markets LLC (Newport Beach CA)
GA
03/03/2016 - 07/12/2017
PREFERRED CAPITAL SECURITIES, LLC (ATLANTA GA)
AL
04/21/2015 - 03/01/2016
RAYMOND JAMES & ASSOCIATES, INC. (BIRMINGHAM AL)
IL
06/15/2011 - 04/02/2014
INVESCO DISTRIBUTORS, INC. (DOWNERS GROVE IL)
IA
Issued 08/18/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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