Unclaimed
Thomas Bardsley is a financial advisor who has been in the industry since October 1999. Thomas is registered as a Registered Representative with Capital Client Group, Inc. Thomas is also an Investment Advisor Representative. Thomas holds Series 6, 7TO, 63, 65, and 26 licenses. Thomas previously worked at Fidelity Investments Institutional Services Company, Inc. in Smithfield, Rhode Island. Thomas is based in Los Angeles, 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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
1
2
CA
12/10/2013 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
RI
10/12/1999 - 12/19/2005
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 12/10/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/06/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/14/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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