Thomas L. Brown
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 Leslie Brown was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 5 firms and has passed the Series 63 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
March 7, 2001 - February 4, 2014
RESOURCE HORIZONS GROUP LLC
October 29, 1997 - March 13, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
September 26, 1997 - October 21, 1997
CENTENNIAL CAPITAL MANAGEMENT, INC.
November 12, 1996 - December 31, 1997
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
April 5, 1995 - September 30, 1997
CADARET, GRANT & CO., INC.
February 22, 1983 - April 5, 1995
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RESOURCE HORIZONS GROUP LLC
CRD#: 104368 / SEC#: , 8-52830
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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