Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Walter Rose is a financial advisor with Capital Client Group, Inc. Thomas has been in the financial services industry since 2008. Thomas holds Series 6, 7, 26, 63, 7TO and SIE licenses and is registered to provide securities and advisory services in 53 states, the District of Columbia and Puerto Rico. Thomas previously worked at AXA Distributors, LLC.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
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2
CA
12/24/2010 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
NC
10/06/2000 - 01/10/2003
AXA DISTRIBUTORS, LLC (CHARLOTTE NC)
BC
Issued 01/21/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/16/2021
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 12/19/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 03/28/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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