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TC

Thomas S. Clements

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CRD#: 1438113
TC

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 Sherril Clements, who also goes by Tom Clements, 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 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Clements

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

April 20, 2012 - August 24, 2020

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Keiser, OR
Past

September 3, 2009 - April 23, 2012

OSAIC FA, INC.

BD
CRD#: 3978
TUALATIN, OR
Past

July 20, 2007 - September 9, 2009

INSPHERE SECURITIES, INC.

BD
CRD#: 136433
PORTLAND, OR
Past

June 10, 2002 - August 9, 2007

EQUITY SERVICES, INC.

BD
CRD#: 265
LAKE OSWEGO, OR
Past

September 14, 1999 - May 31, 2002

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

January 6, 1999 - September 14, 1999

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

November 28, 1995 - January 5, 1999

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
KANSAS CITY, MO
Past

January 24, 1992 - November 17, 1995

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

January 19, 1990 - February 10, 1992

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

December 17, 1985 - January 29, 1990

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA

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: 2/16/1993
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 7
Date: 12/14/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/13/2007
General Securities Principal Examination

Current Firm

JC
J.W. COLE FINANCIAL, INC.
J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

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

Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634
Phone number
(813) 935-6776
Established
Florida since 10/14/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 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#
JWC WEALTH PARTNERSOWNER
FUSSA OCASIO, FERNANDOCFO/FINOP2471569
LOFGREN, KURT WALKERCHIEF COMPLIANCE OFFICER3048472
PACK, TODD JAMESCHIEF OPERATING OFFICER2795590
WEST, EUGENEDESIGNATED MUNICIPAL PRINCIPAL/ROSFP2059974
WOOD, ROBERT JULIANTREASURER/SECRETARY/GP/CEO3217809

Disclosures

Regulatory Event1
Arbitration1

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

J.W. COLE FINANCIAL, INC.

CRD#: 124583

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