Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Walters is a Registered Representative of Level Four Advisory Services, and is a Registered Investment Advisor Representative for the firm. Thomas has been working in the financial industry since 1995. Thomas has held securities licenses in multiple states including North Carolina, Texas, Georgia, Maine, New Jersey, Ohio, Pennsylvania, Rhode Island, South Carolina, Virginia, Washington, West Virginia, and Wisconsin. Thomas is currently a Registered Investment Advisor in North Carolina and Texas. Thomas holds Series 7, Series 6, Series 63 and Series 65 licenses. Thomas is a financial advisor based in Pinehurst, North Carolina.
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.
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.
Solicitor fees - portion of assets managed by other advisors
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2
NC
10/14/2022 - Present
Level Four Advisory Services (PINEHURST NC)
NC
10/12/1995 - 10/31/2022
MID-ATLANTIC SECURITIES, INC. (PINEHURST NC)
IA
Issued 04/30/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/1998
Series 7 - General Securities Representative Examination
BC
Issued 10/11/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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