Thomas M. Thees
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 Matthew Thees, who also goes by Thomas M Thees, Thomas Thees, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2020 - May 16, 2022
ACS EXECUTION SERVICES, LLC
July 22, 2015 - April 19, 2018
CASTLEOAK SECURITIES, LP
June 1, 2012 - January 9, 2014
BONDS.COM LLC
April 18, 2008 - May 14, 2012
JEFFERIES LLC
March 1, 2005 - September 28, 2006
MARKETAXESS CORPORATION
March 25, 1991 - February 14, 2005
MORGAN STANLEY MARKET PRODUCTS INC.
January 17, 1989 - February 14, 2005
MORGAN STANLEY & CO. LLC
March 13, 1985 - January 1, 1989
GOLDMAN SACHS & CO. LLC
April 16, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
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
Series 55
Date: 1/15/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 7/13/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ACS EXECUTION SERVICES, LLC
CRD#: 17972 / SEC#: , 8-36005
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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