Thomas Kenneth Pyles
Professional Summary
Thomas Kenneth Pyles was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1984 - 1995. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
BERLINER & GORDON, INC. | JENKINS & BERLINER, INC. | FELTMAN & CO
Contact Information
Established
North Carolina since 04/30/1990Firm Type
CorporationFiscal Year End
JulyDocuments
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1985Series 15 — Foreign Currency Options Examination
Passed Aug 1985Series 22 — Direct Participation Programs Representative Examination
Passed Apr 1984About the Series 22 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 1992About the Series 28 examSeries 39 — Direct Participation Programs Principal Examination
Passed Apr 1984About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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