Thomas P. Innes
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 Philip Innes JR, who also goes by Thomas Philip Innes, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2004 - January 24, 2008
BNP PARIBAS INVESTMENT SERVICES, LLC
May 22, 2002 - January 1, 2005
BNP PARIBAS BROKERAGE SERVICES, INC.
December 1, 2000 - June 10, 2016
BNP PARIBAS SECURITIES CORP.
October 31, 1995 - January 30, 1996
R.J. KROSS ASSOC. LTD.
February 13, 1989 - March 19, 1993
SBC WARBURG, INC.
August 25, 1988 - March 9, 1989
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
April 19, 1988 - June 1, 1988
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 55
Date: 6/16/2003
Limited Representative-Equity Trader ExamCurrent Firm
BNP PARIBAS INVESTMENT SERVICES, LLC
CRD#: 44598 / SEC#: , 8-50745
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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