Thomas J. Caufield
Professional summary
Thomas Jeffrey Caufield 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 advisor and started their career in finance in 1982. Prior to being barred, Thomas had worked at 6 firms, which includes DAT CAPITAL ADVISORS LLC, WELLS FARGO CLEARING SERVICES LLC, A. G. EDWARDS & SONS INC., PRUDENTIAL EQUITY GROUP LLC, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2008 - October 30, 2015
DAT CAPITAL ADVISORS, LLC
March 17, 2008 - July 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - July 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 8, 1984 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 14, 1984 - November 8, 1984
PRUDENTIAL EQUITY GROUP, LLC
August 2, 1982 - February 7, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
August 2, 1982 - February 7, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 8
Date: 5/20/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DAT CAPITAL ADVISORS, LLC
CRD#: 148151 / 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.
