Thomas W. Bock
Professional summary
Thomas William Bock was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Thomas had worked at 7 firms, which includes OAKFORD PARTNERS LLC, ALLIED CAPITAL INC., GRAYSON FINANCIAL LLC, ROBERT TODD FINANCIAL CORP., ESCALATOR SECURITIES INC., HAMILTON GRANT & COMPANY INC., NORBAY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 1992 - May 12, 1997
OAKFORD PARTNERS, LLC
January 1, 1991 - March 13, 1992
ALLIED CAPITAL, INC.
April 16, 1990 - March 13, 1992
GRAYSON FINANCIAL LLC
July 26, 1988 - April 17, 1990
ROBERT TODD FINANCIAL CORP.
February 5, 1988 - May 12, 1988
ESCALATOR SECURITIES, INC.
October 9, 1986 - February 10, 1988
HAMILTON, GRANT & COMPANY, INC.
June 28, 1982 - October 14, 1986
NORBAY SECURITIES INC.
State Registrations and Notice Filings
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Exams
Series 8
Date: 7/29/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OAKFORD PARTNERS, LLC
CRD#: 30487 / SEC#: , 8-44208
Contact information
Documents
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