Joseph M. Thomas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Michael Thomas, who also goes by Joe Thomas, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2012. Joseph had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2014 - June 8, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
June 26, 2014 - June 8, 2015
BBVA SECURITIES INC.
December 23, 2013 - May 28, 2014
MORGAN STANLEY
December 23, 2013 - May 28, 2014
MORGAN STANLEY
January 30, 2013 - November 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
September 18, 2012 - November 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PNC MANAGED ACCOUNT SOLUTIONS, INC.
CRD#: 110476 / SEC#: 801-56131
Contact information
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 588,442,024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
