Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Walton has been in the financial services industry for over twenty years and is currently a registered representative with Wells Fargo Clearing Services, LLC. Thomas is a Series 7 and Series 66 licensed professional and offers financial planning and investment consulting services to a variety of client types, including individuals, businesses, high-net-worth individuals, charitable organizations, and pension and profit-sharing plans. Prior to joining Wells Fargo, Thomas was a registered representative at Citizens Securities, Inc., and Infinex Investments, Inc.. Thomas has a broad range of experience in the financial services industry and is committed to providing clients with personalized service and investment strategies designed to help them reach their financial goals.
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.
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.
Investment consulting services to institutional clients
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
CT
04/02/2018 - Present
Wells Fargo Clearing Services, LLC (ANSONIA CT)
CT
01/02/2013 - 03/30/2018
CITIZENS SECURITIES, INC. (EAST LYME CT)
CT
06/30/2009 - 12/21/2012
INFINEX INVESTMENTS, INC. (NORWALK CT)
CT
10/06/2006 - 07/06/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SEYMOUR CT)
CT
09/12/2000 - 10/16/2006
UBS FINANCIAL SERVICES INC. (NEW HAVEN CT)
BOTH
Issued 10/05/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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