Thomas S. Ablum
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 Sadik Ablum was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2016 - October 14, 2025
JCC CAPITAL MARKETS, LLC
March 9, 2015 - June 28, 2016
CABIN SECURITIES, INC.
April 20, 2009 - February 27, 2015
ARETE WEALTH MANAGEMENT, LLC
March 12, 2009 - April 21, 2009
CHICAGO INVESTMENT GROUP, LLC
May 8, 2007 - January 23, 2009
CHICAGO INVESTMENT GROUP, LLC
July 21, 2004 - March 28, 2007
SHATTUCK HAMMOND PARTNERS 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
JCC CAPITAL MARKETS, LLC
CRD#: 146776 / SEC#: , 8-67850
Contact information
FINRA licenses (51 States and Territories)
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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