Joseph Thomas, financial advisor San Marcos CA
93 score

Joseph Thomas

CRD Number: 2996023
Current Firm: Prudential Investments LLC

Joseph Thomas (CRD# 2996023) is an Investment Advisor Representative working at Prudential Investments LLC in San Marcos, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Prudential Investment Management Services LLC San Marcos, CA Sep 2011 - Current 5
Prudential Insurance Company Of America San Marcos, CA Aug 2011 - Current 5
Invesco Distributors, Inc. Houston, TX Jun 2010 - Aug 2011 1
Van Kampen Funds Inc. Oakbrook Terrace, IL Dec 1997 - Aug 2011 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1998
S65 NASAA Investment Advisors Law Examination Apr 2001
Contact Info for Joseph L. Thomas
Phone Number: 973-367-6608
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    257,852
    MILLIONS
  • Total Number of Accounts
    189
    ACCOUNTS
  • Average Account Value
    $1,364,297,007
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
Types of Clients
Registered States

AZ, CA, CT, FL, IL, IN, KY, MA, MO, NC, NJ, OH, OR, PA, TN, TX, VA, WA, WI

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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