Thomas H. Marsden
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 Henry Marsden, who also goes by Thomas Henry Marsen, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 22 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 16, 2021 - December 31, 2021
INVESTMENT ADVISORY SERVICES
April 22, 1991 - May 24, 1994
WALNUT STREET SECURITIES, INC.
March 2, 1990 - April 18, 1991
INVESTORS BROKERAGE SERVICES, INC.
June 18, 1989 - December 31, 1989
SUNAMERICA SECURITIES, INC.
March 31, 1989 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
March 20, 1987 - April 19, 1989
INVESTACORP, INC.
April 4, 1986 - March 27, 1987
CORNWALL SECURITIES, INC.
October 30, 1985 - May 5, 1986
TITAN/VALUE EQUITIES GROUP, INC.
February 22, 1983 - December 10, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 1983 - December 11, 1985
AMERICAN EXPRESS FINANCIAL CORPORATION
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
INVESTMENT ADVISORY SERVICES
CRD#: 114820 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 35 |
| AUM (Assets Under Management) | $ 21,800,000 |
Red Flags
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