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THOMAS ALAN WEIL
TOM ALAN WEIL
CRD#: 702753
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 7112 N. FRESNO STREET
180
FRESNO, CA 93720
180
FRESNO, CA 93720
0
Disclosures
39
Years of Experience
View By:
State Registrations
B
Alaska 9/13/2019
B
Montana 8/20/2024
B
California 1/2/2015
B
Oregon 6/29/2015
IA
California 1/2/2015
IA
Texas 7/30/2019
B
Colorado 1/2/2015
B
Virginia 1/2/2015
B
Illinois 12/15/2022
B
Washington 5/14/2015
B
Minnesota 6/29/2022
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 1/2/2015
B
Registered with this firm since 1/2/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/28/2002 - 01/27/2015 | FRESNO, CA | |
B | 03/09/2002 - 01/27/2015 | FRESNO, CA | |
B | 12/05/1994 - 03/09/2002 | SAN FRANCISCO, CA | |
B | 02/14/1984 - 08/15/1989 | NEW YORK, NY | |
B | 12/26/1979 - 02/01/1984 |
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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.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.