Thomas R. Curtis
Professional summary
Thomas Russell Curtis, who also goes by Tom Curtis, is a registered financial professional currently at DAWSON JAMES SECURITIES, INC. located in Boca Raton, Florida.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Russell Curtis's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2008 - Present
DAWSON JAMES SECURITIES, INC.
Office #1: 101 North Federal Highway Suite 600, Boca Raton, FL 33432January 4, 2007 - May 15, 2008
SPENCER EDWARDS, INC.
July 15, 2005 - November 8, 2005
MOORS & CABOT FINANCIAL ADVISORS, LLC
May 4, 1999 - November 8, 2005
MOORS & CABOT, INC.
October 3, 1995 - May 16, 1997
SCHNEIDER SECURITIES, INC.
October 7, 1994 - October 2, 1995
INTERFIRST CAPITAL CORPORATION
June 17, 1992 - October 7, 1994
TAMARON INVESTMENTS, INC.
January 2, 1987 - June 22, 1992
J. W. GANT & ASSOCIATES, INC.
August 20, 1985 - January 2, 1987
MICHELIN AND COMPANY, 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
(6/23/2010)
(3/14/2025)
(1/28/2014)
(9/7/2022)
(5/15/2008)
(5/15/2008)
(5/15/2008)
(3/10/2009)
(3/10/2015)
(5/15/2008)
(5/15/2008)
(7/2/2008)
(6/28/2010)
(9/13/2022)
(2/1/2019)
(5/15/2008)
(7/7/2008)
(3/27/2013)
(6/8/2009)
(4/22/2014)
(6/22/2016)
(5/15/2008)
(1/16/2009)
(3/17/2025)
(7/30/2019)
(5/15/2008)
(7/15/2009)
(8/27/2020)
(7/13/2016)
(6/10/2011)
(6/22/2021)
(5/15/2008)
(6/21/2011)
(1/27/2016)
(1/22/2020)
(7/19/2021)
Exams
FINRA
Nasdaq Stock Market
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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Company Information
DAWSON JAMES SECURITIES, INC.
CRD#: 130645Boca Raton, FL 33432TRUST BUT VERIFY
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