Thomas J. Wall
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 Jerome Wall, who also goes by Thomas J Wall, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1983. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2003 - September 5, 2017
OBERWEIS SECURITIES, INC.
April 19, 2001 - August 31, 2009
ROSENTHAL COLLINS ASSET MANAGEMENT, LLC
February 19, 1997 - June 9, 2003
ROSENTHAL COLLINS SECURITIES, L.L.C
March 25, 1996 - February 25, 1997
GLOBAL INVESTMENT SERVICES, INC.
October 22, 1984 - March 25, 1996
REPUBLIC SECURITIES, INC.
September 23, 1983 - August 13, 1984
KETTLER & COMPANY
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
OBERWEIS SECURITIES, INC.
CRD#: 42060 / SEC#: , 8-49679
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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