Thomas M. Nesbitt
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 Mills Nesbitt IV, who also goes by Thomas Mills Nesbitt, Tom M Nesbitt IV, Tom Nesbitt, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 50, Series 52, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2020 - January 30, 2024
FHN FINANCIAL SECURITIES CORP.
November 11, 2013 - January 25, 2019
STERN BROTHERS & CO.
July 27, 2012 - October 1, 2013
CARTY, HARDING & HEARN, INC.
March 5, 2009 - September 9, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 27, 2003 - March 2, 2009
STERNE, AGEE & LEACH, INC.
January 26, 1999 - July 8, 2002
MORGAN KEEGAN & COMPANY, LLC
July 10, 1995 - February 1, 1999
WMA SECURITIES, INC.
May 17, 1994 - June 22, 1995
SECURITIES AMERICA, INC.
July 25, 1991 - May 12, 1992
F & G SECURITIES, INC.
August 17, 1990 - May 7, 1991
OSAIC FS, INC.
July 12, 1988 - December 31, 1989
G. R. PHELPS & CO., INC.
April 23, 1986 - September 11, 1987
MORGAN STANLEY DW 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
