Bertrand Thomas is a registered investment advisor, based in Springfield Gardens, NY, with 23 years of industry experience.
Location
Springfield Gardens, NY
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Empower Financial Services, INC.
November 2022 - Present · 3 yrs 6 mos
Empower Advisory Group, LLC
November 2022 - Present · 3 yrs 6 mos
Empower Financial Services, INC.Broker
November 2022 - Present · 3 yrs 6 mos
Previous Registrations
Transamerica Retirement Advisors, LLC
August 2021 - October 2022 · 1 yr 2 mos
Transamerica Investors Securities CorporationBroker
February 2021 - October 2022 · 1 yr 8 mos
Nationwide Investment Services CorporationBroker
August 2012 - February 2021 · 8 yrs 6 mos
Chase Investment Services CORP.Broker
April 2010 - July 2012 · 2 yrs 3 mos
Swiss American Securities INC.Broker
May 2004 - August 2008 · 4 yrs 3 mos
Abn Amro IncorporatedBroker
July 1998 - November 2001 · 3 yrs 4 mos
State Registrations4 states
CTNJNYPA
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.