Thomas P. Taffs
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 Patrick Taffs was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 6 firms and has passed the Series 63, SIE 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
October 15, 2014 - April 30, 2015
KOVACK SECURITIES INC.
January 2, 2014 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
July 11, 2001 - December 19, 2013
MML INVESTORS SERVICES, LLC
October 1, 2000 - May 31, 2001
WELLS FARGO CLEARING SERVICES, LLC
May 26, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
March 29, 1985 - May 9, 2000
MML INVESTORS SERVICES, LLC
November 23, 1983 - April 15, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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