Thad S. Pugmire
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.
Thad Stewart Pugmire was a registered financial professional .
Thad is a previously registered financial professional and started their career in finance in 1983. Thad had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2005 - August 29, 2023
FINANCIAL PLANNING CONSULTANTS
December 31, 1997 - September 13, 2023
LPL FINANCIAL LLC
May 17, 1983 - September 13, 2023
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL PLANNING CONSULTANTS
CRD#: 137502 / SEC#:
Contact information
Red Flags
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