Thomas J. Belmont
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 Joseph Belmont JR, ChFC®, CLU®, who also goes by Thomas J Belmont (jr), was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1987. Thomas had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2003 - July 16, 2007
WHARTON EQUITY CORPORATION
May 29, 2003 - December 31, 2007
CAPITAL MANAGEMENT CONSULTANTS,INC.
May 3, 2003 - July 16, 2007
WHARTON EQUITY CORPORATION
January 14, 2000 - June 23, 2003
HORNOR, TOWNSEND & KENT, LLC
March 19, 1998 - December 22, 1999
HORNOR, TOWNSEND & KENT, LLC
May 8, 1997 - March 30, 1998
OSAIC WEALTH, INC.
January 7, 1994 - April 1, 1997
WALNUT STREET SECURITIES, INC.
November 30, 1988 - January 10, 1994
THE GREAT-WEST LIFE ASSURANCE COMPANY
June 1, 1987 - December 5, 1988
G. R. PHELPS & CO., 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
WHARTON EQUITY CORPORATION
CRD#: 10170 / SEC#: , 8-26224
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
