Thomas E. Missler
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 Eugene Missler, who also goes by Thomas Misslier, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 1995 - October 1, 1999
SPECTRUM SECURITIES, INC.
October 18, 1994 - September 18, 1995
PIPER SANDLER & CO.
July 31, 1993 - October 28, 1994
CITIGROUP GLOBAL MARKETS INC.
October 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
April 30, 1991 - October 22, 1992
FINANCIAL WEST GROUP
October 4, 1990 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
May 31, 1989 - October 4, 1990
FIRST AFFILIATED SECURITIES
June 14, 1985 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
August 29, 1983 - July 12, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SPECTRUM SECURITIES, INC.
CRD#: 29305 / SEC#: , 8-44217
Contact information
Documents
Red Flags
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