Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Richard Sonnentag is a registered representative with Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc. Thomas has been in the industry since August 12, 2004. He is a registered representative in Florida and Wisconsin. Thomas has passed the Series 3, Series 4, Series 7, Series 24, Series 52TO, Series 53, and Series 66 exams. He is also a registered investment advisor in Wisconsin. Thomas has a limited partnership in a family limited partnership that trades and has holdings in publicly traded companies. The partnership is passive. Thomas is a financial advisor who can provide you with a variety of financial services, including financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses and individuals.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
04/26/2018 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
WI
09/22/2011 - 04/24/2018
INVEST FINANCIAL CORPORATION (APPLETON WI)
CA
09/22/2011 - 04/24/2018
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
WI
05/20/2005 - 04/24/2018
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
WI
08/11/2004 - 04/24/2018
SII INVESTMENTS, INC. (APPLETON WI)
BOTH
Issued 01/21/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/15/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/30/2005
Series 4 - Registered Options Principal Examination
BC
Issued 05/09/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/02/2020
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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