Thomas K. Pyles
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 Kenneth Pyles 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, Series 3, Series 5, Series 7, Series 15, Series 22, Series 24, Series 28 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1993 - July 5, 1995
FELTMAN & CO
September 22, 1989 - December 18, 1990
LAMON & STERN, INC.
January 16, 1987 - June 30, 1987
CIBC WORLD MARKETS CORP.
June 18, 1986 - January 12, 1987
J.P. MORGAN SECURITIES LLC
August 16, 1985 - June 12, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
April 10, 1984 - September 24, 1984
AER INVESTMENTS INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/24/1985
Interest Rate Options ExaminationSeries 15
Date: 8/29/1985
Foreign Currency Options ExaminationSeries 28
Date: 3/11/1992
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FELTMAN & CO
CRD#: 26543 / SEC#: , 8-45172
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
