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TW

Thomas Wetmore

Some features on this profile are disabled
CRD#: 1275688
TW

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 Wetmore, who also goes by Thomas L Wetmore, Thomas Leigh Wetmore, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas L Wetmore | Thomas Leigh Wetmore

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 7, 2003 - July 19, 2017

MID ATLANTIC CLEARING & SETTLEMENT CORPORATION

BD
CRD#: 37466
PASADEAN, CA
Past

August 10, 2000 - May 7, 2002

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

November 5, 1999 - August 4, 2000

MID ATLANTIC CLEARING & SETTLEMENT CORPORATION

BD
CRD#: 37466
PITTSBURGH, PA
Past

December 9, 1998 - July 18, 2000

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
OMAHA, NE
Past

February 14, 1998 - June 30, 2000

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

February 14, 1998 - July 11, 2000

GOLDK INVESTMENT SERVICES, INC

BD
CRD#: 15514
BOSTON, MA
Past

November 25, 1997 - January 27, 1998

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA
Past

November 4, 1996 - November 17, 1997

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
OMAHA, NE
Past

September 12, 1996 - November 17, 1997

GOLDK INVESTMENT SERVICES, INC

BD
CRD#: 15514
BOSTON, MA
Past

August 23, 1994 - October 22, 1997

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

January 21, 1987 - May 11, 1988

BWS, INC.

BD
CRD#: 17569

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/12/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/7/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/19/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/3/1999
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/25/1995
General Securities Principal Examination

Current Firm

MA
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
ADVISORS CLEARING NETWORK, INC. | MID ATLANTIC CLEARING & SETTLEMENT CORPORATION | LIFE CYCLE MUTUAL FUNDS DISTRIBUTORS, INC. | BISYS BD SERVICES, INC.

CRD#: 37466 / SEC#: , 8-47758

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1251 Waterfront Place Suite 540, Pittsburgh, PA 15222
Mailing Address
1251 Waterfront Pl Ste 510 Suite 540, Pittsburgh, PA 15222
Phone number
8006937800345
Established
Delaware since 09/12/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MID ATLANTIC TRUST COMPANYOWNER
BAIER, ELIZABETH CURROFINOP4851105
BANCO, JOSEPH FRANKLIN JRPRINCIPAL FINANCIAL OFFICER (CF0)2850198
JENKINS, WILLIAM HENRYCCO3004337
SMITH, KYLE PETERPRESIDENT2142563

Disclosures

Regulatory Event1

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.

Company Information

MID ATLANTIC CLEARING & SETTLEMENT CORPORATION

CRD#: 37466

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