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Thomas W. Pritchard

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CRD#: 1374781
TP

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 Ward Pritchard, who also goes by Thomas W Pritchard, Tom Ward Pritchard, Tommy Pritchard, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 15, Series 5 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas W Pritchard | Tom Ward Pritchard | Tommy Pritchard

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 25, 2014 - April 7, 2020

MENSURA SECURITIES, LLC

BD
CRD#: 150064
Houston, TX
Past

June 13, 2012 - June 23, 2014

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

March 15, 2000 - June 4, 2012

PRITCHARD CAPITAL PARTNERS, LLC

BD
CRD#: 100480
FALLS CHURCH, VA
Past

January 6, 1997 - March 3, 2000

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

March 16, 1995 - January 9, 1997

LOEWENBAUM & COMPANY INCORPORATED

BD
CRD#: 26560
AUSTIN, TX
Past

June 20, 1991 - March 13, 1995

JOHNSON RICE & COMPANY L.L.C.

BD
CRD#: 19524
NEW ORLEANS, LA
Past

May 25, 1990 - June 21, 1991

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

March 27, 1989 - June 1, 1990

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 23, 1985 - April 6, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/16/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/9/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 15
Date: 9/18/1985
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 5
Date: 9/9/1985
Interest Rate Options Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/23/2000
General Securities Principal Examination

Current Firm

MS
MENSURA SECURITIES, LLC
MENSURA SECURITIES, LLC

CRD#: 150064 / SEC#: , 8-68210

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
3060 Peachtree Road Nw Suite 1600, Atlanta, GA 30305
Mailing Address
3060 Peachtree Road Nw Suite 1600, Atlanta, GA 30305
Phone number
(404) 939-9099
Established
Delaware since 02/09/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MENSURA HOLDINGS, LLCLLC MEMBER
DUDIAK, ROBERT LOUISPRINCIPAL1975929
GRAHAM, ALEXANDER MCCARGOPRINCIPAL / PRESIDENT/CEO5657630
VAN NORT, PETER STAUBFINOP/CHIEF COMPLIANCE OFFICER/PRINCIPAL/PFO/POO2025103

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.

Company Information

MENSURA SECURITIES, LLC

CRD#: 150064

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