Thomas R. Woolley
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 Righter Woolley, who also goes by Tom Woolley, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - October 2, 2024
NUVEEN SECURITIES, LLC
December 17, 2014 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
August 17, 2005 - May 21, 2014
COMMONFUND SECURITIES, INC.
March 3, 2004 - January 19, 2005
BACAP DISTRIBUTORS, LLC
December 13, 2001 - June 27, 2002
INVESMART SECURITIES, LLC
September 3, 1993 - December 21, 2000
T. ROWE PRICE INVESTMENT SERVICES, INC.
December 15, 1988 - March 23, 1993
FIDELITY DISTRIBUTORS COMPANY LLC
June 19, 1986 - December 13, 1988
FIDELITY DISTRIBUTORS CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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