Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Sprague is a financial advisor who is currently registered with Principal Securities, Inc. in Indiana. He is also registered with the Financial Industry Regulatory Authority (FINRA) as a Registered Representative and General Securities Representative. Thomas has been in the securities industry since March 4, 1989 and has experience in various areas of financial advising, including retirement planning, investment management, and insurance. He is a graduate of the University of Notre Dame. Thomas holds multiple licenses and certifications, including Series 6, Series 63, and Series 65 licenses. He is a member of the National Association of Insurance and Financial Advisors.
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.
Personalized portfolio management to meet individual financial objectives.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IN
07/05/2001 - Present
Principal Securities, Inc. (GREENWOOD IN)
VA
12/01/1997 - 04/30/2001
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
VA
07/17/1997 - 12/01/1997
FORTH FINANCIAL SECURITIES, CORPORATION (RICHMOND VA)
NJ
11/27/1987 - 06/12/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 09/20/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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