Thurgood E. Pittman
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.
Thurgood Edmund Pittman was a registered financial advisor .
Thurgood is a previously registered financial advisor and started their career in finance in 1986. Thurgood had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2002 - May 8, 2003
KOVACK SECURITIES INC.
November 29, 2000 - December 31, 2007
PATRONUS CAPITAL MANAGEMENT
August 13, 1996 - August 3, 2001
CYBERVEST SECURITIES INC.
August 10, 1992 - May 9, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 1987 - July 20, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
August 11, 1986 - April 27, 1987
WADDELL & REED
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 28
Date: 7/8/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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