Thomas Soffe (CRD# 6170953) is an Investment Advisor Representative working at Morgan Stanley in Provo, UT and has over 10 years of experience in the finance industry. Thomas Soffe 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# 4683570
Cetera Investment Advisers LLC
CRD# 840425
Equitable Advisors, LLC
CRD# 1473328
Brookstone Capital Management LLC
Company Name | Location | Dates | Years |
---|---|---|---|
Morgan Stanley Smith Barney LLC | Provo, UT | Aug 2021 - Current | 2 |
Bank Of America, N.a. | Provo, UT | Jun 2018 - Aug 2021 | 3 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco, CA | Sep 2017 - Aug 2021 | 3 |
Unemployed | Lehi, UT | Aug 2017 - Sep 2017 | < 1 |
Melaleuca Inc. | Idaho Falls, ID | May 2017 - Aug 2017 | < 1 |
Unemployed | Lehi, UT | Aug 2016 - May 2017 | < 1 |
Bank Of America, N.a. | Provo, UT | Mar 2015 - Aug 2016 | 1 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Provo, UT | Feb 2013 - Aug 2016 | 3 |
Exam Code | Name | Passed Date |
---|---|---|
S66 | NASAA Uniform Combined State Law Examination | Sep 2013 |
- TX
- UT
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Total Assets Under Management1,402,426MILLIONS
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Total Number of Accounts2,405,783ACCOUNTS
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Average Account Value$582,939
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Performance-based fees
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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