Thomas A. Nix
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 Allen Nix was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 14 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2008 - July 23, 2008
QUESTAR CAPITAL CORPORATION
February 8, 2006 - March 8, 2006
USA FINANCIAL SECURITIES LLC
September 11, 2002 - January 3, 2006
WESTERN INTERNATIONAL SECURITIES, INC.
April 19, 2001 - September 23, 2002
INVESTORS CAPITAL CORP.
July 12, 2000 - April 20, 2001
CALIFORNIA FINANCIAL NETWORK, INC.
April 10, 2000 - June 30, 2000
INTERFIRST CAPITAL CORPORATION
February 17, 2000 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
January 5, 1999 - January 25, 2000
INVESTORS CAPITAL CORP.
March 17, 1998 - December 31, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 7, 1997 - January 13, 1998
1717 CAPITAL MANAGEMENT COMPANY
September 16, 1996 - July 22, 1997
INVESTORS CAPITAL CORP.
June 1, 1996 - September 12, 1996
WALNUT STREET SECURITIES, INC.
September 8, 1994 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
February 8, 1993 - August 2, 1994
PRUCO SECURITIES, LLC.
August 5, 1987 - January 18, 1993
METROPOLITAN LIFE INSURANCE COMPANY
August 5, 1987 - January 18, 1993
MSI FINANCIAL SERVICES, 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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
