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 Frain is a Registered Representative and Principal with Siebert Williams Shank & CO., LLC, located in New York, NY. Thomas is experienced in the Securities Industry with over 8 years of experience. Thomas has passed the Series 7, 24, 50, 52, 53, 54, 63 and SIE exams. Thomas is also a Registered Municipal Advisor Representative and has a Series 14 qualification. Prior to joining Siebert Williams Shank & CO., LLC, Thomas worked for Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. in St. Petersburg, FL. Thomas is licensed in New York.
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
NY
04/14/2021 - Present
Siebert Williams Shank & CO., LLC (NEW YORK NY)
FL
10/07/2015 - 04/13/2021
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
FL
08/14/2014 - 09/24/2015
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST PETERSBURG FL)
BC
Issued 12/28/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 10/03/2022
Series 54 - Municipal Advisor Principal Qualification Examination
BC
Issued 07/22/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/25/2014
Series 24 - General Securities Principal Examination
BC
Issued 05/31/2022
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2016
Series 52 - Municipal Securities Representative Examination
BC
Issued 08/14/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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