Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Munning is a securities professional with over 20 years of experience in the financial industry. Thomas is currently registered with Broadridge Business Process Outsourcing, LLC, where he has been employed since September 1, 2016. Previously, Thomas worked at NOMURA SECURITIES INTERNATIONAL, INC., BARCLAYS CAPITAL INC., BROWN BROTHERS HARRIMAN & CO., and ALLIANCE FUND DISTRIBUTORS, INC.. Thomas holds Series 6, 7, 63, SIE and Series 6TO licenses.
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.
1
2
NJ
09/01/2016 - Present
Broadridge Business Process Outsourcing, LLC (Newark NJ)
NY
05/05/2008 - 09/13/2016
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
05/24/2004 - 05/16/2008
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
11/23/2001 - 05/28/2004
BROWN BROTHERS HARRIMAN & CO. (NEW YORK NY)
TN
02/26/1996 - 10/06/1997
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
BC
Issued 02/04/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2001
Series 7 - General Securities Representative Examination
BC
Issued 02/23/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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