Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Caffrey is an investment advisor representative at Allstate Financial Advisors, LLC in Hilton Head Island, South Carolina. Thomas has been in the securities industry for over 20 years. Thomas has been registered with the Securities and Exchange Commission since 1998 and is a licensed investment advisor representative in South Carolina. Thomas has worked for several firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, L.M. Kohn & Company, Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. Thomas earned his Series 7, Series 63, and Series 65 licenses. Thomas has experience in providing financial planning, and portfolio management. Thomas's main office is located in Lincoln, Nebraska. Allstate Financial Advisors, LLC has over 350 employees. The firm is headquartered in Lincoln, Nebraska and has offices in Hilton Head Island, South Carolina. The firm's regulatory assets under management (AUM) is over $62 million.
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Third party advisory fees
1
2
SC
07/21/2014 - Present
Allstate Financial Advisors, LLC (Hilton Head Island SC)
SC
11/21/2012 - 02/08/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BLUFFTON SC)
SC
01/17/2012 - 05/22/2012
L.M. KOHN & COMPANY (BLUFFTON SC)
GA
08/25/2010 - 01/17/2012
MIDSOUTH CAPITAL, INC. (ATLANTA GA)
GA
09/15/2009 - 08/30/2010
MORGAN KEEGAN & COMPANY, INC. (ATLANTA GA)
GA
06/01/2009 - 10/08/2009
MORGAN STANLEY SMITH BARNEY (ATLANTA GA)
GA
11/03/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ATLANTA GA)
NY
05/06/2002 - 04/07/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
05/18/2000 - 01/24/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
CT
08/20/1998 - 03/31/2000
HERBERT J. SIMS & CO. INC. (FAIRFIELD CT)
IA
Issued 06/01/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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