Thomas Shumosic (CRD# 1913737) is an Investment Advisor Representative working at Kestra Advisory Services, LLC in Wilmington, DE and has over 33 years of experience in the finance industry. Thomas Shumosic has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2972218
Lpl Financial LLC
CRD# 6180296
Oppenheimer & Company Inc.
CRD# 6436358
Planning Capital Management Corp.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Kestra Investment Services, LLC | Wilmington, DE | Jun 2017 - Current | 6 |
| Kestra Advisory Services, LLC | Wilmington, DE | Jun 2017 - Current | 6 |
| Mid Atlantic Retirment Planning Specialists | Wilmington, DE | Jul 2012 - Current | 11 |
| Rockwood Financial Group | Wilmington, DE | Oct 1997 - Current | 26 |
| Cadaret, Grant & Company, Inc. | Wilmington, DE | Jan 1998 - Jun 2017 | 19 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Sep 1990 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- DE
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Total Assets Under Management48,324MILLIONS
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Total Number of Accounts140,425ACCOUNTS
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Average Account Value$344,129
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