Thomas B. Turner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Boyd Turner, who also goes by Tom Turner, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 5 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2010 - December 31, 2013
ALPHA OMEGA ADVISORS
October 23, 2008 - December 31, 2008
BROKERSXPRESS LLC
January 3, 2007 - October 22, 2008
BROKERSXPRESS LLC
December 2, 1999 - December 31, 2006
OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.
March 4, 1986 - November 10, 1999
NATIONWIDE SECURITIES, LLC
June 23, 1982 - May 25, 1984
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALPHA OMEGA ADVISORS
CRD#: 153883 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
