Thomas L. Roley
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 Lee Roley was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 1 firm and has passed the Series 65, Series 63, Series 22, Series 6, Series 39 and Series 26 exams.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 1985 - May 27, 1992
MIDVALE SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
MIDVALE SECURITIES CORPORATION
CRD#: 15877 / SEC#: , 8-32884
Contact information
Documents
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