Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Wayne Prince is a registered representative with Regions Securities LLC in Charlotte, North Carolina. Thomas holds Series 63, Series 79TO and SIE licenses. Thomas has been in the financial services industry since January 18, 2024.
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.
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NC
01/19/2024 - Present
Regions Securities LLC (Charlotte NC)
BC
Issued 02/05/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/19/2024
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 12/04/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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