Arthur L. 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.
Arthur Leslie Thomas, who also goes by Arthur L Thomas, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1984. Arthur had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2004 - October 31, 2013
MARCO POLO SECURITIES INC.
June 9, 1993 - July 18, 2002
BROADCORT CAPITAL CORP.
October 29, 1987 - December 2, 2002
MERRILL LYNCH GOVERNMENT SECURITIES INC.
February 23, 1984 - December 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
MARCO POLO SECURITIES INC.
CRD#: 46561 / SEC#: , 8-51480
Contact information
FINRA licenses (35 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
