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James Thomas is a financial advisor professional located in Norwich, CT. They specialize in financial advisory. With over 43 years of experience, they bring deep expertise to every client.
James Thomas - Osaic Institutions, Inc. holds an active professional license (FINRA CRD) for your protection.
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James Thomas operates as a financial advisor through Osaic Institutions, Inc., based in Norwich, Connecticut. With 43 years of experience in the financial services industry, he brings substantial tenure to his practice. His professional registration is tracked under FINRA CRD license number 1066366, which governs his activities in securities and investment advisory services. Clients working with James Thomas can rely on his extensive background in the field.
James Thomas holds a FINRA CRD (Central Registration Depository) license number 1066366. This registration indicates he is authorized to conduct securities and investment advisory business under FINRA oversight, the primary self-regulatory organization for the securities industry. A FINRA CRD license signals that the advisor has met regulatory requirements and is subject to ongoing compliance monitoring and customer protection rules established by FINRA and the SEC. This framework helps ensure advisors maintain professional standards and follow rules designed to protect investors.