Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Pringle is a financial advisor registered with LPL Financial LLC. Thomas has been in the financial industry since 1983 and has experience in various roles, including insurance sales and acting as a trustee. Thomas is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, 24, 27, 53, 63, 99TO and SIE licenses. Thomas works with a variety of clients including high-net-worth individuals, corporations, charitable organizations and pension and profit-sharing plans.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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
CT
09/08/2009 - Present
LPL Financial LLC (AVON CT)
CT
12/10/2001 - 09/08/2009
MUTUAL SERVICE CORPORATION (AVON CT)
NY
04/21/1983 - 03/10/2005
MARK SECURITIES, INC. (PELHAM MANOR NY)
BC
Issued 01/05/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/12/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/14/1990
Series 27 - Financial and Operations Principal Examination
BC
Issued 08/25/1988
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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