Thomas A. Dus
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 Alan Dus SR, who also goes by Thomas Alan Dus, Tom Dus, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2008 - October 8, 2025
APEX WEALTH MANAGEMENT, LLC
March 11, 2005 - November 26, 2008
FORTUNE FINANCIAL SERVICES, INC.
January 1, 2004 - March 11, 2005
VOYA FINANCIAL ADVISORS, INC.
September 24, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
October 6, 1998 - July 14, 2003
LOCUST STREET SECURITIES, INC.
January 12, 1995 - October 6, 1998
NATIONAL PLANNING CORPORATION
May 13, 1992 - December 9, 1994
OSAIC FS, INC.
May 9, 1986 - May 19, 1992
BMA FINANCIAL SERVICES, 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
Current Firm
APEX WEALTH MANAGEMENT, LLC
CRD#: 119812 / SEC#: 801-63582
Contact information
Regulatory assets under management
| Total Number of Accounts | 141 |
| AUM (Assets Under Management) | $ 18,343,131 |
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.
