Thomas K. Moreland
Professional summary
Thomas Krause Moreland, who also goes by Tom Moreland, is a registered financial advisor currently at SHERWOOD OAK KNOLL, LLC located in San Marino, California.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Krause Moreland's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2020 - Present
SHERWOOD OAK KNOLL, LLC
Office #1: 2220 Adair Street, San Marino, CA 91108February 25, 2003 - October 26, 2020
GOLD COAST SECURITIES, INC.
February 14, 2003 - October 26, 2020
GOLD COAST SECURITIES, INC.
June 13, 2001 - February 11, 2003
UBS FINANCIAL SERVICES INC.
May 22, 2001 - February 11, 2003
UBS FINANCIAL SERVICES INC.
June 28, 1999 - May 10, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 11, 1999 - May 13, 1999
SANDS BROTHERS & CO., LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/30/2020)
Exams
Current Firm
SHERWOOD OAK KNOLL, LLC
CRD#: 310621 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 3,000,000 |
Red Flags
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