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 Geoffrey Thomas, who also goes by Geoff 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 7 firms and has passed the Series 63, SIE 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
November 30, 1998 - October 5, 1999
COLLEGE & UNIVERSITY SECURITIES CORPORATION
November 24, 1998 - September 3, 2015
ICBA SECURITIES
May 1, 1998 - September 3, 2015
VINING-SPARKS IBG, LLC
August 19, 1996 - June 2, 1998
FIRST CLEARING, LLC
August 18, 1994 - August 20, 1996
MERIDIAN SECURITIES, INC.
July 25, 1987 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
March 23, 1983 - August 18, 1994
MARCUS, STOWELL & BEYE, 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
COLLEGE & UNIVERSITY SECURITIES CORPORATION
CRD#: 42468 / SEC#: , 8-49859
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CENTRAL ASSOCIATION OF COLLEGE AND UNIVERSITY BUSINESS OFFICERS | PARENT CORPORATION | |
| BARNES, JAMES A | DIRECTOR | |
| BENKEN, JAMES EDWARD | DIRECTOR | |
| DODSON, JAMES MARSHALL | DIRECTOR | |
| GLADNEY, HAROLD LAMAR | COMPLIANCE OFFICER | 1189322 |
| HUNKINS, DONALD E | DIRECTOR | |
| LEVINGSTON, LARRY BRUCE | CFO/TREASURER | 1028551 |
| MOULTON, JEANNE MARIE | EVP/SECRETARY | 2092778 |
| PATTERSON, JOHN DALE | DIRECTOR | |
| RATZLOFF, KEITH L | CHAIRMAN | |
| SCOTT, FRANCIS JOSEPH | HEAD TRADER | 818820 |
| SHIRLEY, MICHAEL SLEET | DIRECTOR | |
| SORENSEN, ROBERT SIDNEY | DIRECTOR | |
| WADE, RANDALL EDWIN | PRESIDENT | 1572823 |
| WATSON, ELAINE MCINTYRE | DIRECTOR |
Red Flags
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