Thomas D. Hiles
Professional summary
Thomas Dean Hiles was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Thomas had worked at 6 firms, which includes THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., VOYA FINANCIAL ADVISORS INC., INVESTMENT PLANNERS INC., UNITED PACIFIC FINANCIAL SERVICES INC., COUNTRY CAPITAL MANAGEMENT COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 1994 - May 17, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 9, 1994 - May 17, 2000
OSAIC FA, INC.
August 5, 1992 - November 7, 1994
VOYA FINANCIAL ADVISORS, INC.
December 10, 1991 - August 20, 1992
INVESTMENT PLANNERS, INC.
January 10, 1991 - October 25, 1991
UNITED PACIFIC FINANCIAL SERVICES, INC.
January 31, 1985 - December 21, 1990
COUNTRY CAPITAL MANAGEMENT COMPANY
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
Current Firm
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
CRD#: 2580 / SEC#: , 8-13034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN NATIONAL CORPORATION | HOLDING COMPANY | |
| CRAWFORD, FREDRICK JOHN | CHIEF FINANCIAL OFFICER, DIRECTOR | 4443207 |
| FREDERICK, CHRISTINE SPENCER | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2641636 |
| GLASS, DENNIS R | PRESIDENT, DIRECTOR | 2897098 |
| KONEN, MARK E | DIRECTOR | 5150090 |
| QUEK, SEE YENG | DIRECTOR | 1938493 |
| RYAN, KEITH JAMES | VICE PRESIDENT AND DIRECTOR | 2709700 |
Disclosures
| Regulatory Event | 14 |
Red Flags
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