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Thomas S Soffe
THOMAS STEEL SOFFE, THOMAS SOFFE
CRD#: 6170953
IA
B
MORGAN STANLEYCRD#: 149777 5255 North Edgewood Drive
Suite 275
Provo, UT 84604
Suite 275
Provo, UT 84604
0
Disclosures
10
Years of Experience
View By:
State Registrations
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Alabama 8/18/2021
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Nevada 8/18/2021
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Alaska 8/18/2021
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New Hampshire 8/18/2021
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Arizona 8/18/2021
B
New Jersey 8/18/2021
B
Arkansas 8/18/2021
B
New Mexico 8/18/2021
B
California 8/18/2021
B
New York 8/18/2021
B
Colorado 8/18/2021
B
North Carolina 8/18/2021
B
Connecticut 8/18/2021
B
North Dakota 8/18/2021
B
Delaware 8/18/2021
B
Ohio 8/18/2021
B
District of Columbia 8/18/2021
B
Oklahoma 8/18/2021
B
Florida 8/18/2021
B
Oregon 8/18/2021
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Georgia 8/18/2021
B
Pennsylvania 8/18/2021
B
Hawaii 8/18/2021
B
Puerto Rico 8/18/2021
B
Idaho 8/18/2021
B
Rhode Island 8/18/2021
B
Illinois 8/18/2021
B
South Carolina 8/18/2021
B
Indiana 8/18/2021
B
South Dakota 8/18/2021
B
Iowa 8/18/2021
B
Tennessee 8/18/2021
B
Kansas 8/18/2021
B
Texas 8/18/2021
B
Kentucky 8/18/2021
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Texas 8/18/2021
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Louisiana 8/18/2021
B
Utah 8/18/2021
B
Maine 8/18/2021
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Utah 8/19/2021
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Maryland 8/18/2021
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Vermont 8/18/2021
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Massachusetts 8/18/2021
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Virgin Islands 8/18/2021
B
Michigan 8/18/2021
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Virginia 8/18/2021
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Minnesota 8/18/2021
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Washington 8/18/2021
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Mississippi 8/18/2021
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West Virginia 8/18/2021
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Missouri 8/18/2021
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Wisconsin 8/18/2021
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Montana 8/18/2021
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Wyoming 8/18/2021
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Nebraska 8/18/2021
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 8/18/2021
B
Registered with this firm since 8/18/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2017 - 08/18/2021 | PROVO, UT | |
B | 10/03/2017 - 08/18/2021 | PROVO, UT | |
IA | 09/17/2013 - 09/09/2016 | PROVO, UT | |
B | 07/05/2013 - 09/09/2016 | PROVO, UT |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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