Thomas R. Mindel
Professional summary
Thomas Robert Mindel is a registered financial professional currently at ALAMO CAPITAL located in Reno, Nevada.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Robert Mindel's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2020 - Present
ALAMO CAPITAL
October 12, 2015 - June 4, 2020
LADENBURG THALMANN & CO. INC.
March 28, 1994 - October 15, 2015
GILFORD SECURITIES INCORPORATED
December 16, 1991 - January 13, 1994
M.S. FARRELL & COMPANY, INC.
April 21, 1988 - December 16, 1991
D. H. BLAIR & CO., INC.
August 15, 1986 - February 11, 1988
CITIGROUP GLOBAL MARKETS INC.
June 20, 1984 - August 26, 1986
LEHMAN BROTHERS INC.
September 21, 1983 - June 18, 1984
KIDDER, PEABODY & CO. 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
(6/25/2020)
(6/1/2020)
(9/23/2020)
(6/1/2020)
(6/16/2020)
(8/4/2020)
(8/4/2020)
(9/15/2020)
(6/16/2020)
(1/13/2022)
(8/4/2020)
(7/2/2020)
(6/16/2020)
(6/16/2020)
(8/4/2020)
(9/15/2020)
(9/3/2023)
(6/16/2020)
(6/1/2020)
(8/4/2020)
(8/4/2020)
(6/16/2020)
(6/16/2020)
(8/4/2020)
(6/17/2020)
(7/2/2020)
(6/16/2020)
(6/6/2020)
(7/2/2020)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
Red Flags
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