Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Spicer is a financial professional with over 23 years of experience in the industry. Thomas is currently registered with Barclays Capital Inc. Previously, Thomas has worked with a number of firms including PRUCO SECURITIES, LLC., WEDBUSH SECURITIES INC., LIME BROKERAGE LLC, METLIFE SECURITIES INC., NEW ENGLAND SECURITIES, TOWER SQUARE SECURITIES, INC., WALNUT STREET SECURITIES, INC., UBS FINANCIAL SERVICES INC., PERSHING ADVISOR SOLUTIONS LLC, and INVESTEX SECURITIES GROUP, INC.
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
NY
03/31/2023 - Present
Barclays Capital Inc. (NEW YORK NY)
NJ
03/28/2017 - 01/31/2023
PRUCO SECURITIES, LLC. (Newark NJ)
NY
10/13/2014 - 08/29/2016
WEDBUSH SECURITIES INC. (NEW YORK NY)
NJ
07/16/2014 - 08/29/2016
LIME BROKERAGE LLC (MORRISTOWN NJ)
NJ
09/21/2010 - 07/07/2014
METLIFE SECURITIES INC. (SOMERSET NJ)
NJ
09/21/2010 - 07/07/2014
NEW ENGLAND SECURITIES (SOMERSET NJ)
NJ
09/21/2010 - 09/06/2013
TOWER SQUARE SECURITIES, INC. (SOMERSET NJ)
NJ
09/21/2010 - 09/06/2013
WALNUT STREET SECURITIES, INC. (SOMERSET NJ)
NJ
04/01/2009 - 09/10/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
04/05/2007 - 09/30/2008
PERSHING ADVISOR SOLUTIONS LLC (JERSEY CITY NJ)
NJ
08/09/2005 - 03/29/2007
TOWER SQUARE SECURITIES, INC. (ISELIN NJ)
NJ
09/16/2004 - 03/29/2007
METLIFE SECURITIES INC. (ISELIN NJ)
NJ
09/16/2004 - 03/29/2007
METROPOLITAN LIFE INSURANCE COMPANY (ISELIN NJ)
NJ
09/16/2004 - 03/29/2007
NEW ENGLAND SECURITIES (ISELIN NJ)
NJ
09/16/2004 - 03/29/2007
WALNUT STREET SECURITIES, INC. (ISELIN NJ)
CA
07/01/2005 - 08/05/2005
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
NY
06/09/1999 - 08/02/2004
INVESTEX SECURITIES GROUP, INC. (NEW YORK NY)
CA
06/12/1998 - 05/24/1999
TRADEWELL DISCOUNT INVESTING, LLC (SAN DIEGO CA)
NJ
12/02/1997 - 12/11/1997
CAPITAL PLANNING ASSOCIATES, INC. (SOUTH PLAINFIELD NJ)
NA
07/22/1997 - 12/01/1997
WALSH MANNING SECURITIES, LLC
BC
Issued 08/18/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/22/2000
Series 4 - Registered Options Principal Examination
BC
Issued 10/16/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2015
Series 3 - National Commodity Futures Examination
BC
Issued 01/20/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/21/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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