Thomas J. Evey
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 James Evey was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 4, Series 27 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
September 2, 2010 - December 11, 2020
GREAT POINT CAPITAL LLC
February 16, 2006 - January 4, 2007
GAR WOOD SECURITIES, LLC
March 3, 2003 - January 28, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
December 17, 2001 - December 23, 2009
GREAT POINT CAPITAL LLC
October 19, 2001 - December 11, 2009
SPIKE FINANCIAL SERVICES, LLC
July 26, 2000 - March 3, 2003
RUMSON CAPITAL, LLC
August 14, 1997 - November 3, 2000
ROSENTHAL COLLINS SECURITIES, L.L.C
April 19, 1995 - February 6, 1996
LFG, L.L.C.
December 17, 1985 - July 2, 1993
THE CHICAGO CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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