Thomas A. Fisher
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 Alan Fisher JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 14 firms and has passed the Series 63, 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
April 15, 2003 - March 8, 2005
CHURCH STREET SECURITIES CORP.
August 7, 2001 - December 31, 2002
YANKEE FINANCIAL GROUP, INC.
December 17, 1996 - April 16, 1999
CASTLE SECURITIES CORP.
January 25, 1996 - October 31, 1996
VISTA SECURITIES INC.
January 25, 1993 - January 3, 1994
ISLAND SECURITIES, INC.
October 13, 1992 - January 29, 1993
CORTLANDT CAPITAL CORPORATION
November 2, 1990 - September 2, 1992
CASTLE SECURITIES CORP.
September 6, 1990 - November 1, 1990
THE STUART-JAMES COMPANY, INCORPORATED
June 19, 1990 - October 18, 1990
BLINDER, ROBINSON & CO., INC.
April 18, 1990 - May 21, 1990
VANDERBILT SECURITIES, INC.
May 18, 1989 - April 16, 1990
WILLIAM M. CADDEN & CO., INC.
April 15, 1988 - January 9, 1989
WILLIAM SCOTT & CO. L.L.C.
April 27, 1987 - April 5, 1988
EQUITABLE SECURITIES OF NEW YORK,INC.
April 16, 1986 - April 6, 1987
ADVEST, INC.
January 28, 1985 - April 16, 1986
FIRST JERSEY SECURITIES, 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 55
Date: 3/4/2004
Limited Representative-Equity Trader ExamCurrent Firm
CHURCH STREET SECURITIES CORP.
CRD#: 29134 / SEC#: , 8-44130
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTLE HOLDING CORP | SHAREHOLDER | |
| NEWSOME, SHAKESPEARE | DIRECTOR AND SOLE OFFICER, CCO | 1777098 |
Disclosures
| Regulatory Event | 1 |
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.
