Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Friedberg is a registered investment advisor with Sutter Capital Partners, LLC. Thomas has been in the financial industry since 1991 and has a broad range of experience. Thomas has held previous roles at Sutter Securities Clearing, LLC, Janco Partners, Inc., Brean Murray & Co., Inc., Tucker Anthony Incorporated, Genesis Merchant Group Securities LLC, and Piper, Jaffray & Hopwood Incorporated. Thomas holds a wide range of licenses and certifications, including Series 3, 4, 7, 9, 14, 24, 63, 65, 86, 87, and SIE. Thomas is a member of the Financial Industry Regulatory Authority (FINRA) and is also registered with the states of California, Nebraska and Texas. Thomas offers a variety of investment advisory services including financial planning, selection of other advisors, and portfolio management.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Third party marketing, municipal advisors
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.
A percentage of the total value of assets under management is charged.
% of management fees earned by manager clients
1
2
CA
06/03/2021 - Present
Sutter Capital Partners, LLC (IRVINE CA)
CA
09/15/2017 - 11/21/2019
SUTTER SECURITIES CLEARING, LLC (IRVINE CA)
CO
09/10/2002 - 03/08/2005
JANCO PARTNERS, INC. (GREENWOOD VILLAGE CO)
NY
02/04/2002 - 08/13/2002
BREAN MURRAY & CO., INC. (NEW YORK NY)
MA
07/05/2000 - 11/10/2001
TUCKER ANTHONY INCORPORATED (BOSTON MA)
CO
05/19/1997 - 06/05/2000
JANCO PARTNERS, INC. (GREENWOOD VILLAGE CO)
NY
09/10/1991 - 01/14/1997
GENESIS MERCHANT GROUP SECURITIES LLC (NEW YORK NY)
MN
10/26/1987 - 03/26/1990
PIPER, JAFFRAY & HOPWOOD INCORPORATED (MINNEAPOLIS MN)
IA
Issued 01/09/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/09/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/15/2024
Series 14 - Compliance Officer Examination
BC
Issued 07/16/2012
Series 4 - Registered Options Principal Examination
BC
Issued 02/10/2012
Series 24 - General Securities Principal Examination
BC
Issued 04/12/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/11/2018
Series 3 - National Commodity Futures Examination
BC
Issued 08/29/2010
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 05/24/2010
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 10/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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