Michael Thomas is a registered investment advisor, based in Templeton, CA, with 34 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold.
Location
315 S Main St, Templeton, CA, 93465
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Regulatory History (1)
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Customer Dispute
August 1997Denied
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
January 2021 - Present · 5 yrs 9 mos
Raymond James Financial Services Advisors, INC
January 2021 - Present · 5 yrs 9 mos
Previous Registrations
Raymond James & Associates, INC.Broker
January 2012 - January 2021 · 9 yrs
Raymond James & Associates, INC.
January 2012 - January 2021 · 9 yrs
Wells Fargo Advisors, LLC
May 2003 - January 2012 · 8 yrs 8 mos
Wells Fargo Advisors, LLCBroker
May 2000 - January 2012 · 11 yrs 8 mos
Painewebber IncorporatedBroker
July 1997 - June 2000 · 2 yrs 11 mos
Everen Securities, INC.Broker
July 1992 - July 1997 · 5 yrs
Dean Witter Reynolds INC.Broker
March 1992 - July 1992 · 4 mos
State Registrations11 states
AZCACONVNYSCTXUTVAVirgin IslandsWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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