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Thomas J. Carr

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CRD#: 1613787
TC

Professional summary

Thomas James Carr was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Thomas had worked at 9 firms, which includes TORREY PINES SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, MORGAN STANLEY DW INC., A. G. EDWARDS & SONS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 4, 2004 - September 12, 2005

TORREY PINES SECURITIES, INC.

BD
CRD#: 17120
SAN DIEGO, CA
Past

July 18, 2001 - May 15, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WALNUT CREEK, CA
Past

May 10, 2001 - May 15, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 3, 1999 - May 7, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 16, 1998 - September 15, 1999

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

August 16, 1996 - June 3, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 31, 1993 - August 15, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 2, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 24, 1992 - October 6, 1992

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 24, 1992 - October 6, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/5/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1992
General Securities Representative Examination

Current Firm

TP
TORREY PINES SECURITIES, INC.
AMERICAN INDEPENDENT MARKETING | TORREY PINES SECURITIES, INC. | ECONOVEST PROPERTIES, INC.

CRD#: 17120 / SEC#: , 8-35004

BD
Cancelled by SEC on 06/19/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/28/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
2000 WORTH H. BAGLEY JR. REV TRUST DTD 6/1/2000TRUST
SHEA, PETER WILLIAMSHAREHOLDER420778
SMITH, JACK CLARK JRSHAREHOLDER427869
BAGLEY, WORTH HARRINGTON JRCEO, FINOP, CCO, AMLCO1296995

Disclosures

Regulatory Event13
Arbitration5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TORREY PINES SECURITIES, INC.

CRD#: 17120

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