Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Gaines is a financial advisor with over 30 years of experience in the industry. Thomas is currently registered with LPL Financial LLC and has been with the firm since 2005. Thomas has held previous roles with firms such as Morgan Keegan & Company, Inc., UBS PaineWebber Inc., J.C. Bradford & Co., PML Securities Company and PRUCO Securities Corporation. Thomas is licensed to offer securities and investment advisory services in Alabama, Arizona, California, Colorado, District of Columbia, Florida, Georgia, Illinois, Indiana, Kentucky, Maryland, Missouri and Pennsylvania. Thomas has earned the Series 6, 7, 24, 63 and 65 licenses.
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.
1
2
KY
08/03/2005 - Present
LPL Financial LLC (LOUISVILLE KY)
TN
02/13/2002 - 08/05/2005
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NJ
08/14/2000 - 02/26/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
05/03/1993 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
DE
05/20/1992 - 05/13/1993
PML SECURITIES COMPANY (NEWARK DE)
NJ
08/08/1991 - 05/18/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
08/08/1991 - 05/18/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 12/15/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/30/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1992
Series 7 - General Securities Representative Examination
BC
Issued 08/06/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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