Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Ku is a financial advisor with over 25 years of experience in the industry. Thomas currently works for Wells Fargo Clearing Services, LLC and is registered to provide financial advice in 27 states. Thomas has held previous positions at Wells Fargo Investments, LLC, WAMU Investments, Inc., Murphey Favre, Inc. and Financial Services International Corp. Thomas has earned the Chartered Financial Consultant designation and has passed the Series 7, Series 63, Series 65 and SIE exams. Thomas Ku specializes in providing financial planning, investment management, and portfolio management services to individuals, businesses, and charitable organizations.
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.
Investment consulting services to institutional clients
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.
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2
WA
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (BELLEVUE WA)
WA
04/07/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BELLEVUE WA)
WA
07/10/1998 - 04/09/2008
WAMU INVESTMENTS, INC. (BELLEVUE WA)
CA
09/03/1996 - 06/26/1997
MURPHEY FAVRE, INC. (IRVINE CA)
FL
02/09/1996 - 09/17/1996
FINANCIAL SERVICES INTERNATIONAL CORP. (BOCA RATON FL)
IA
Issued 03/25/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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