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TF

Thomas F. Ferris

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CRD#: 1396423
TF

Professional summary

Thomas Francis Ferris was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Thomas had worked at 4 firms, which includes PACIFIC CAPITAL PARTNERS INC., REMINGTON SECURITIES INC., BRIGHTON INDUSTRIES INC., ROCKWELL FINANCIAL INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Ferris

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

August 1, 1990 - October 10, 1997

PACIFIC CAPITAL PARTNERS, INC.

BD
CRD#: 24519
LA JOLLA, CA
Past

July 7, 1988 - July 25, 1990

REMINGTON SECURITIES, INC.

BD
CRD#: 16695
Past

November 20, 1985 - May 16, 1988

BRIGHTON INDUSTRIES, INC.

BD
CRD#: 16902
Past

September 10, 1985 - September 27, 1985

ROCKWELL FINANCIAL, INC.

BD
CRD#: 16350

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: 6/21/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 7/15/1985
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 7/15/1985
Direct Participation Programs Principal Examination

Current Firm

PC
PACIFIC CAPITAL PARTNERS, INC.
PACIFIC CAPITAL PARTNERS, INC. | TEXAS PACIFIC RESOURCES, INC.

CRD#: 24519 / SEC#: , 8-41257

BD
Terminated by SEC on 11/09/1997
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 03/30/1989
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

PACIFIC CAPITAL PARTNERS, INC.

CRD#: 24519

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