Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Patrick Collins is a financial advisor with over 30 years of experience in the financial services industry. Thomas is currently registered with RBC Capital Markets, LLC and has been with the firm since March 2018. Prior to this, Thomas was employed by J.P. MORGAN SECURITIES LLC, UBS FINANCIAL SERVICES INC., PIPER JAFFRAY & CO., J.P. MORGAN SECURITIES INC., HAMBRECHT & QUIST LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, KIDDER, PEABODY & CO. INCORPORATED and BA INVESTMENT SERVICES, INC. Thomas holds licenses for Series 6, 7, 31, 63, 65 and SIE examinations and is currently registered in Arizona, California, District of Columbia, Florida, Hawaii, Illinois, New York, North Carolina, Pennsylvania, Texas. Thomas has a broad range of experience in the financial services industry and is able to provide a wide variety of services to clients. Thomas is also a Certified Financial Planner.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
03/26/2018 - Present
RBC Capital Markets, LLC (SAN FRANCISCO CA)
CA
04/23/2010 - 03/07/2018
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
CA
08/12/2006 - 04/29/2010
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
04/08/2002 - 08/12/2006
PIPER JAFFRAY & CO. (SAN FRANCISCO CA)
NY
02/01/2000 - 04/11/2002
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
03/04/1996 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
10/18/1994 - 03/07/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/07/1992 - 10/19/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
CA
04/08/1992 - 09/29/1992
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
IA
Issued 07/11/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 11/29/1991
Series 7 - General Securities Representative Examination
BC
Issued 10/03/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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