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RM

Richard F. Marshall

L.O. THOMAS & CO.
Linwood, NJ 08221
Some features on this profile are disabled
CRD#: 1568388
RM

Professional summary

Richard Francis Marshall, who also goes by Rick Marshall, is a registered financial professional currently at L.O. THOMAS & CO. INC. located in Linwood, New Jersey.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 6 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Marshall

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Francis Marshall's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 29, 2002 - Present

L.O. THOMAS & CO. INC.

Office #1: 2106 New Road, Ste. A-6, Box 293, Linwood, NJ 08221
BD
CRD#: 23657
Linwood, NJ
Past

October 25, 1996 - September 27, 2002

BRYN MAWR SECURITIES INC.

BD
CRD#: 17953
KING OF PRUSSIA, PA
Past

June 1, 1996 - November 20, 1996

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

July 21, 1993 - June 1, 1996

NORTH AMERICAN MANAGEMENT, INC.

BD
CRD#: 624
SIOUX FALLS, SD
Past

April 6, 1987 - February 10, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

November 10, 1986 - January 28, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(10/29/2002)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/6/1986
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LT
L.O. THOMAS & CO. INC.
L.O. THOMAS & CO. | L.O. THOMAS & CO. INC.

CRD#: 23657 / SEC#: , 8-40875

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
Linwood Commons-suite A-6 2106 New Road, Linwood, NJ 08221
Mailing Address
Linwood Commmons-suite A-6 2106 New Road Po Box 293, Linwood, NJ 08221
Phone number
(609) 927-4044
Established
New Jersey since 03/01/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RISLEY, JOHN WESLEY JRPRESIDENT, FINOP, CEO,CCO844622

Disclosures

Regulatory Event1

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.

Company Information

L.O. THOMAS & CO. INC.

CRD#: 23657Linwood, NJ 08221

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