Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Robert Findlay is a financial advisor with over 17 years of experience in the industry. He is currently registered with Jackson National Life Distributors LLC in Franklin, TN. Thomas has a strong background in securities and investments, holding Series 7, 63, 65, SIE and 79TO licenses. He previously worked with Nuveen Securities, LLC and Rosenthal Global Securities LLC.
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
TN
05/06/2024 - Present
Jackson National Life Distributors LLC (FRANKLIN TN)
IL
10/07/2005 - 03/03/2022
NUVEEN SECURITIES, LLC (CHICAGO IL)
IL
02/18/2005 - 09/12/2005
ROSENTHAL GLOBAL SECURITIES LLC (CHICAGO IL)
BC
Issued 06/22/2006
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/21/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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