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TH

Thomas A. Hargett

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CRD#: 1281425
TH

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 Andrew Hargett 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 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 28, 1993 - June 7, 1994

FIRST NATIONAL INVESTMENTS, INC.

BD
CRD#: 25865
Past

November 6, 1992 - March 4, 1993

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
Past

May 20, 1991 - March 23, 1992

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
Past

July 8, 1988 - February 5, 1991

TECHNOLOGY FUNDING SECURITIES CORPORATION

BD
CRD#: 15074
Past

January 23, 1986 - March 3, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

July 27, 1984 - January 13, 1986

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816

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
RR
Series 63
Date: 10/30/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/16/1991
General Securities Principal Examination

Current Firm

FN
FIRST NATIONAL INVESTMENTS, INC.
CAPITAL SELECT INVESTMENTS CORP. | HASTEN FINANCIAL SERVICES, INC. | HASTEN FINANCIAL SERVICES, INC | FIRST NATIONAL INVESTMENTS, INC.

CRD#: 25865 / SEC#: , 8-42085

BD
Terminated by SEC on 11/20/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Indiana since 01/01/1989
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST NATIONAL BANK & TRUSTSHAREHOLDER
JOSEPHSON, STEVEN MARKVP BROKERAGE OPERATIONS2239540
ROBERTS, ALBERTA STEPHENSCHIEF COMPLIANCE OFFICER2681068
SMYTH, MICHAEL JCHIEF FINANCIAL OFFICER, FIN OP2802717
STREIT, BARRY ROBERTPRESIDENT, CEO1384513

Disclosures

Regulatory Event2

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

FIRST NATIONAL INVESTMENTS, INC.

CRD#: 25865

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