Eileen M. Thome
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.
Eileen M Thome, who also goes by Eileen Duck Thome, was a registered financial professional .
Eileen is a previously registered financial professional and started their career in finance in 1985. Eileen had worked at 8 firms and has passed the Series 63, SIE, Series 52, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2016 - January 26, 2017
KESTRA ADVISORY SERVICES, LLC
December 14, 2016 - January 26, 2017
KESTRA INVESTMENT SERVICES, LLC
January 30, 2015 - July 12, 2016
STONEX ADVISORS INC.
September 12, 2014 - July 12, 2016
STONEX SECURITIES INC.
July 7, 2000 - January 30, 2015
WRP INVESTMENTS, INC.
July 20, 1999 - September 12, 2014
WRP INVESTMENTS, INC.
May 14, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
May 14, 1985 - July 22, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 14, 1985 - July 22, 1999
OSAIC FA, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 62
Date: 8/22/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
