Thomas W. Stratton
Professional summary
Thomas Ward Stratton 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 professional and started their career in finance in 2002. Prior to being barred, Thomas had worked at 2 firms, which includes WORLD CHOICE SECURITIES INC., FINANCIAL INDEPENDENCE SYSTEMS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2006 - August 13, 2021
WORLD CHOICE SECURITIES, INC.
January 5, 2004 - August 12, 2021
WORLD CHOICE SECURITIES, INC.
August 13, 2002 - January 2, 2004
FINANCIAL INDEPENDENCE SYSTEMS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WORLD CHOICE SECURITIES, INC.
CRD#: 30933 / SEC#: , 8-45235
Contact information
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 24,955,000 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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