Sanford C. Thomas
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.
Sanford Cole Thomas was a registered financial professional .
Sanford is a previously registered financial professional and started their career in finance in 1983. Sanford had worked at 6 firms and has passed the Series 63, Series 3, Series 5, Series 15, Series 7 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
December 31, 2002 - December 16, 2019
CROWN CAPITAL CORPORATION
January 30, 1997 - November 23, 1998
LAMON & STERN, INC.
January 25, 1995 - February 20, 1997
CHIMNEYVILLE INVESTMENTS GROUP, INCORPORATED
October 5, 1988 - December 31, 1994
PROGRESSIVE CAPITAL SECURITIES CORPORATION
March 11, 1987 - April 2, 1987
METROPOLITAN FINANCIAL CORPORATION
February 8, 1985 - March 17, 1987
PROGRESSIVE CAPITAL SECURITIES CORPORATION
November 25, 1983 - October 5, 1984
THOMSON MCKINNON SECURITIES 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
Series 5
Date: 3/30/1984
Interest Rate Options ExaminationSeries 15
Date: 3/2/1984
Foreign Currency Options ExaminationCurrent Firm
CROWN CAPITAL CORPORATION
CRD#: 118924 / SEC#:
Contact information
Red Flags
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