Thomas J. Charles
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 Jones Charles JR, who also goes by Tommy Charles Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 6 firms and has passed the Series 63 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
December 3, 2008 - December 31, 2010
CAPE SECURITIES INC.
June 10, 2004 - December 8, 2008
RESOURCE HORIZONS GROUP LLC
January 1, 2004 - June 15, 2004
VOYA FINANCIAL ADVISORS, INC.
June 24, 1999 - January 1, 2004
LOCUST STREET SECURITIES, INC.
August 11, 1995 - June 23, 1999
WMA SECURITIES, INC.
January 26, 1984 - July 13, 1995
PFS INVESTMENTS INC.
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
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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