Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy J. Thomas is a financial professional with over 30 years of experience in the industry. Timothy has a strong background in the securities industry, having held positions at various firms including J.P. Morgan Securities LLC, Lehman Brothers Inc., Smith Barney Inc., and Kaufman Bros., L.P. Timothy holds a Series 7, 9, 10, 24, 52TO, 53, 79TO, 87, and SIE license and has passed the Uniform Securities Agent State Law Examination (Series 63). Timothy is currently registered with National Financial Services 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.
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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NJ
08/06/2021 - Present
National Financial Services LLC (JERSEY CITY NJ)
NY
03/29/2006 - 05/04/2021
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
03/29/2006 - 10/01/2016
J.P. MORGAN CLEARING CORP. (NEW YORK NY)
NY
08/27/1998 - 03/17/2006
KAUFMAN BROS., L.P. (NEW YORK NY)
NY
10/27/1997 - 07/15/1998
MONTROSE CAPITAL MANAGEMENT LTD. (NEW YORK NY)
NY
02/28/1996 - 05/12/1997
AMERICORP SECURITIES, INC. (NEW YORK NY)
NY
07/31/1993 - 02/12/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
12/20/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 02/23/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/15/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/15/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/07/1996
Series 24 - General Securities Principal Examination
BC
Issued 02/21/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 11/15/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 11/15/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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