Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Caruso is a financial advisor in McLean, Virginia. Thomas is currently registered with Prospera Financial Services, Inc. Thomas has over 40 years of experience in the financial services industry and has held various roles at several financial institutions. Thomas is dedicated to providing personalized financial advice to individuals and families. Thomas has a comprehensive understanding of financial planning and investment strategies, and is committed to helping clients achieve their financial goals. Thomas is also registered in several states and holds a variety of licenses and certifications.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Percentage of assets under review
1
2
VA
03/02/2023 - Present
Prospera Financial Services, Inc. (McLean VA)
VA
01/16/2015 - 01/04/2023
AMERIPRISE FINANCIAL SERVICES, LLC (VIENNA VA)
DC
06/01/2009 - 01/27/2015
MORGAN STANLEY (WASHINGTON DC)
DC
08/17/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WASHINGTON DC)
DC
07/01/2003 - 08/22/2007
WACHOVIA SECURITIES, LLC (WASHINGTON DC)
NY
08/25/1989 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/18/1981 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
IA
Issued 12/04/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/19/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/1989
Series 3 - National Commodity Futures Examination
BC
Issued 08/02/1985
Series 5 - Interest Rate Options Examination
BC
Issued 06/04/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 02/16/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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