Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Raftery is a financial advisor with Prudential Investment Management Services LLC. Thomas has been in the industry since 2014. Thomas is registered in 52 states and has passed the Series 3, 7 and 63 exams. Thomas previously worked at FRANKLIN/TEMPLETON DISTRIBUTORS, INC. MMC Securities Corp. and Mercer Securities, Inc.
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
NJ
04/06/2018 - Present
Prudential Investment Management Services LLC (NEWARK NJ)
CA
10/13/2016 - 02/27/2018
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
NY
06/16/2003 - 12/04/2003
MMC SECURITIES CORP. (NEW YORK NY)
IL
09/14/2001 - 06/16/2003
MERCER SECURITIES, INC. (CHICAGO IL)
BC
Issued 05/17/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/27/2018
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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