Thomas G. Chase
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 George Chase, who also goes by Tom Chase Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 4 firms and has passed the Series 63 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 20, 1997 - November 20, 2013
INVESTORS BROKERAGE OF TEXAS, LTD.
October 9, 1993 - November 15, 1994
ROBERT W. BAIRD & CO. INCORPORATED
October 29, 1991 - April 15, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 17, 1987 - October 1, 1991
INVESTORS BROKERAGE OF TEXAS, LTD.
July 6, 1984 - March 8, 1988
TOWER SQUARE 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
Current Firm
INVESTORS BROKERAGE OF TEXAS, LTD.
CRD#: 13037 / SEC#: , 8-28644
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 88,879,830 |
Disclosures
| Regulatory Event | 3 |
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.
