Thomas A. Fisher
Professional summary
Thomas Allen Fisher, who also goes by Thomas A Fisher, is a registered financial professional currently at X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 7, Series 31 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Allen Fisher's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 25, 2009 - Present
X-CHANGE FINANCIAL ACCESS, LLC
Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606Office #2: 222 W Adams Street Suite 450, Chicago, IL 60606September 22, 2008 - February 6, 2009
BARCLAYS CAPITAL INC.
December 19, 2000 - September 22, 2008
LEHMAN BROTHERS 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
Exams
Series 99TO
Date: 7/25/2024
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCboe Exchange, Inc.
FINRA
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Current Firm
X-CHANGE FINANCIAL ACCESS, LLC
CRD#: 126201 / SEC#: , 8-65860
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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