Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Petersen is a registered investment advisor representative with Wells Fargo Clearing Services, LLC. Thomas has been in the financial industry since September 19, 2005, and has been registered with Wells Fargo Clearing Services, LLC since June 24, 2008. Thomas has a Series 6, 7, 63, and 65 license and is registered in several states including California, Florida, Georgia, Illinois, Iowa, Mississippi, New Jersey, North Carolina, Oklahoma, South Carolina, Tennessee, and Virginia. Thomas specializes in providing financial planning and investment advice to individual and business clients.
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
NC
06/24/2008 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
IA
Issued 06/23/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2011
Series 7 - General Securities Representative Examination
BC
Issued 09/19/2005
Series 6 - Investment Company Products/Variable Contracts 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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