Thomas L. Svalberg
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 Lee Svalberg was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 6 firms and has passed the Series 63, Series 7, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 1991 - December 10, 1991
PATTERSON TRAVIS, INC.
November 20, 1986 - September 26, 1989
FIRST EAGLE, INC.
May 29, 1986 - September 19, 1986
ALLISON SECURITIES CORPORATION
January 9, 1984 - January 8, 1985
COLUMBINE SECURITIES, INC.
September 2, 1983 - March 27, 1984
FIRST FINANCIAL SECURITIES, INC.
July 21, 1983 - August 1, 1983
AMERICAN FRONTEER FINANCIAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PATTERSON TRAVIS, INC.
CRD#: 16540 / SEC#: , 8-34364
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
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