John W. 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 Walter Thomas, who also goes by John W 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 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2009 - December 3, 2015
FIRST SOUTHWEST COMPANY, LLC
May 15, 2008 - June 29, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 2, 2007 - June 29, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 19, 2006 - October 12, 2006
SAMCO CAPITAL MARKETS, INC.
January 3, 2006 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
July 1, 2003 - June 16, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 24, 1983 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 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.
