Thomas R. Schettig
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 R Schettig, who also goes by Thomas Richard Schettig, Thomas Schettig, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 3 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 52, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2022 - December 20, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 13, 2022 - December 20, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 23, 2008 - December 31, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 16, 2007 - December 31, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 9, 1999 - July 13, 2007
NEXT FINANCIAL GROUP, INC.
August 8, 1983 - August 20, 1999
ADVANTAGE CAPITAL CORPORATION
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 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 62
Date: 12/19/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| 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.
