Thomas Dudenhoefer
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 Dudenhoefer, who also goes by Thomas Joseph Dudenhoefer, Thomas Joseph Dudenhoffer, Tom Dudenhoefer, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 14 firms and has passed the Series 63, Series 57TO, 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
May 7, 2019 - January 8, 2026
D-MERC SERVICES
October 26, 2018 - May 31, 2019
CABOT LODGE SECURITIES LLC
September 18, 2018 - October 23, 2018
SANDLAPPER SECURITIES, LLC
November 25, 2016 - August 29, 2018
FINANCIAL WEST GROUP
December 17, 2014 - November 25, 2016
SANDLAPPER SECURITIES, LLC
March 12, 2012 - December 15, 2014
WFG INVESTMENTS, INC.
April 1, 2008 - February 13, 2012
DEWAAY FINANCIAL NETWORK, LLC
November 27, 2007 - March 31, 2008
HARRISON DOUGLAS, INC.
March 6, 2006 - October 26, 2007
WILSON-DAVIS & CO., INC.
December 1, 2004 - March 3, 2006
GUNNALLEN FINANCIAL, INC
March 3, 2004 - October 4, 2004
VIEWTRADE SECURITIES, INC.
November 13, 2002 - February 4, 2004
LAVAFLOW, INC.
May 16, 2002 - February 4, 2004
NEXTRADE
June 30, 2000 - April 12, 2001
RYAN BECK & CO.
October 25, 1984 - May 2, 2000
RAYMOND JAMES & ASSOCIATES, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
D-MERC SERVICES
CRD#: 292310 / SEC#: , 8-70072
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORE COWBELL LLC | SHAREHOLDER | |
| SARIAN, LORI CATES | MANAGING PARTNER, CEO, CCO | 1870394 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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