Thomas D. Kruger
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 Damian Kruger 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 65, Series 63, Series 3 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
May 5, 2011 - December 7, 2012
NOVODYN ADVISORS LLC
July 16, 2010 - October 8, 2010
GREAT POINT CAPITAL LLC
March 8, 2010 - July 26, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 28, 2003 - March 9, 2010
HILLTOP SECURITIES INC.
March 28, 2003 - March 9, 2010
HILLTOP SECURITIES INC.
September 12, 1994 - April 15, 2003
UBS FINANCIAL SERVICES INC.
November 19, 1991 - April 15, 2003
UBS FINANCIAL SERVICES INC.
July 14, 1986 - June 7, 1991
UBS FINANCIAL SERVICES INC.
April 18, 1984 - July 28, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
NOVODYN ADVISORS LLC
CRD#: 156451 / SEC#:
Contact information
Red Flags
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