Tomas E. Colon Millan
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.
Tomas Edgardo Colon Millan, who also goes by Tomas E Colon, Tomas Edgardo Colon, was a registered financial professional .
Tomas is a previously registered financial professional and started their career in finance in 1986. Tomas had worked at 5 firms and has passed the Series 52, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 1999 - December 19, 2001
BROOKSTREET SECURITIES CORPORATION
July 20, 1995 - October 22, 1999
R.K. GRACE & COMPANY
June 10, 1994 - May 10, 1995
ORIENTAL FINANCIAL SERVICES LLC
August 28, 1989 - May 26, 1994
MORGAN STANLEY DW INC.
August 17, 1988 - August 11, 1989
UBS FINANCIAL SERVICES INC.
October 1, 1986 - May 26, 1994
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
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
