Thomas C. Sulger
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 Connors Sulger was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 4 firms and has passed the Series 63, Series 79TO, Series 72, SIE, Series 7, Series 52, Series 14, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2020 - May 24, 2022
NW CAPITAL MARKETS INC.
March 30, 1992 - April 16, 2019
GATES CAPITAL CORPORATION
September 17, 1991 - May 4, 1992
LANGDON P. COOK GOVERNMENT SECURITIES, LLC
June 26, 1986 - May 4, 1992
LANGDON P COOK & CO. INCORPORATED
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 ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
NW CAPITAL MARKETS INC.
CRD#: 17622 / SEC#: , 8-35363
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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