John L. 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.
John Lee Thomas JR., who also goes by John Lee Thomas Jr, John Lee Thomas, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 9 firms and has passed the Series 63, SIE 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
December 7, 2012 - August 6, 2015
SECURITIES AMERICA, INC.
March 17, 2008 - December 7, 2012
INVESTORS SECURITY COMPANY, INC.
February 9, 2005 - December 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 10, 2003 - January 4, 2005
OSAIC WEALTH, INC.
October 16, 1991 - October 9, 2003
SECURITY FINANCIAL NETWORK, LLC
August 1, 1991 - October 25, 1991
IFMG SECURITIES, INC.
May 2, 1991 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
September 9, 1988 - April 30, 1991
SECURITY FINANCIAL NETWORK, LLC
August 24, 1984 - March 7, 1988
J. D. ANDREWS CO.
March 28, 1983 - August 24, 1984
PFS INVESTMENTS INC.
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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
