Richard G. Thomas
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.
Richard George Thomas was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2010 - December 31, 2020
SOUTH BEACH CAPITAL MANAGEMENT, LLC
February 5, 2002 - March 21, 2003
COWEN PRIME SERVICES TRADING LLC
October 22, 1997 - July 7, 2001
FIRST FUND DISTRIBUTORS, INC.
May 31, 1995 - September 30, 1997
FUNDS DISTRIBUTOR, LLC
February 8, 1993 - June 5, 1995
FIRST FUND DISTRIBUTORS, INC.
September 29, 1983 - November 5, 1991
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
SOUTH BEACH CAPITAL MANAGEMENT, LLC
CRD#: 153451 / SEC#:
Contact information
Red Flags
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