Thomas J. Textor
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 J Textor, who also goes by Thomas Joseph Textor, 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 3, Series 7, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2012 - February 3, 2016
TD AMERITRADE, INC.
June 13, 2011 - February 3, 2016
TD AMERITRADE CLEARING, INC.
July 2, 2010 - June 2, 2011
PENSON FINANCIAL SERVICES, INC.
April 16, 2007 - June 30, 2010
APEX CLEARING CORPORATION
November 1, 2006 - March 12, 2007
NATIONAL INVESTOR SERVICES CORP.
October 17, 2003 - April 30, 2004
R. J. THOMPSON SECURITIES, INC.
January 12, 1998 - January 8, 2002
NATIONAL INVESTOR SERVICES CORP.
December 2, 1997 - November 1, 2006
TD AMERITRADE, INC.
December 22, 1987 - November 26, 1997
PRUDENTIAL EQUITY GROUP, LLC
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
Series 8
Date: 11/29/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
