Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tory? Claim Your ProfileTory Keith Thomas is a financial advisor at Wells Fargo Clearing Services, LLC. Tory is a Registered Representative and Investment Advisor Representative with over 20 years of experience in the financial services industry. Tory is registered with the state of California, Arizona, Connecticut, Delaware, Florida, Idaho, Maine, Nevada, North Carolina, and South Carolina and holds Series 3, 7, 9, 10, 31, 63, and 65 licenses. Tory has previously been employed with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Tory is also a property owner in Aliso Viejo, CA.
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
CA
03/05/2012 - Present
Wells Fargo Clearing Services, LLC (LAGUNA BEACH CA)
CA
06/01/2009 - 03/27/2012
MORGAN STANLEY SMITH BARNEY (LAGUNA BEACH CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LAGUNA BEACH CA)
CA
01/26/1996 - 04/02/2007
MORGAN STANLEY DW INC. (LAGUNA BEACH CA)
IA
Issued 02/02/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/21/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2001
Series 3 - National Commodity Futures Examination
BC
Issued 02/09/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 01/25/1996
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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