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TL

Thomas J. Levine

Some features on this profile are disabled
CRD#: 1653810
TL

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 Jason Levine was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 53, Series 24 and Series 4 exams.

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

March 14, 2016 - July 3, 2017

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

April 26, 2013 - May 21, 2014

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
LOS ANGELES, CA
Past

April 26, 2013 - May 21, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

April 28, 2010 - April 29, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
BEVERLY HILLS, CA
Past

April 12, 2010 - April 29, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
BEVERLY HILLS, CA
Past

April 9, 2009 - July 30, 2009

COMPASS POINT RESEARCH & TRADING, LLC

BD
CRD#: 126258
WASHINGTON, DC
Past

January 11, 2008 - November 7, 2008

TRADE INFORMATICS LLC

BD
CRD#: 143867
LOS ANGELES, CA
Past

February 14, 2006 - August 22, 2006

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
BEVERLY HILLS, CA
Past

March 13, 2000 - November 3, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

May 25, 1999 - September 17, 1999

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

May 15, 1997 - January 22, 1999

PACIFIC GROWTH EQUITIES, LLC

BD
CRD#: 24835
SAN FRANCISCO, CA
Past

September 27, 1994 - April 8, 1997

VOLPE BROWN WHELAN & COMPANY, LLC

BD
CRD#: 18329
SAN FRANCISCO, CA
Past

May 20, 1993 - August 25, 1994

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

August 28, 1987 - June 2, 1993

KENNEDY, CABOT & CO.

BD
CRD#: 2417
Past

May 21, 1987 - June 2, 1993

KENNEDY, CABOT & CO.

BD
CRD#: 2417
BEVERLY HILLS, CA

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: 4/27/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/5/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/27/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/30/1989
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/8/1988
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/9/1987
Registered Options Principal Examination

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

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

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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

FNEX CAPITAL, LLC

CRD#: 166316

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