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Thomas K. Woolsey

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CRD#: 1453010
TW

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 Kendrick Woolsey was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 2, 2002 - August 31, 2018

LANCASTER POLLARD & CO., LLC

BD
CRD#: 24110
LAWRENCE, KS
Past

September 10, 1992 - August 14, 1995

AVM, L.P.

BD
CRD#: 16710
BOCA RATON, FL
Past

March 5, 1991 - June 25, 1992

CANTOR FITZGERALD, G.P.

BD
CRD#: 27368
Past

August 7, 1989 - June 30, 1992

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

December 14, 1988 - August 18, 1992

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

March 3, 1986 - December 14, 1988

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

BD
CRD#: 16493

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: 5/28/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/31/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/2002
General Securities Representative Examination

Current Firm

LP
LANCASTER POLLARD & CO., LLC
LANCASTER POLLARD & CO. | LANCASTER POLLARD & CO., LLC

CRD#: 24110 / SEC#: , 8-40905

BD
Terminated by SEC on 03/15/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/23/2013
Firm type
Limited Liability Company
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LANCASTER POLLARD HOLDINGS, LLCMEMBER (09/2013)
GESUE, NICHOLAS MASSEYMANAGER (07/2017) AND CHIEF EXECUTIVE OFFICER4463110
KIRKWOOD, ROBERT THOMASMANAGER (07/2017) AND CHIEF FINANCIAL OFFICER & CHIEF OPERATIONS OFFICER (03/2014)6025468
MAINELLI, KEVIN JOSEPHCHIEF COMPLIANCE OFFICER1751991
MATT, KASSEM K.MANAGER (07/2017) AND PRESIDENT (07/2015)5115995

Disclosures

Regulatory Event3

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

LANCASTER POLLARD & CO., LLC

CRD#: 24110

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