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Thomas J. Clem

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CRD#: 1657637
TC

Professional summary

Thomas James Clem 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 1987. Prior to being barred, Thomas had worked at 4 firms, which includes EAST - WEST CAPITAL CORPORATION, MARINER FINANCIAL SERVICES INC., GUARDIAN INVESTOR SERVICES LLC, WOODBURY FINANCIAL SERVICES INC..

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

February 13, 1996 - March 4, 1997

EAST - WEST CAPITAL CORPORATION

BD
CRD#: 16348
Past

July 24, 1990 - September 1, 1995

MARINER FINANCIAL SERVICES, INC.

BD
CRD#: 8292
LARGO, FL
Past

June 5, 1989 - July 31, 1990

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

May 1, 1987 - June 17, 1989

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, 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
RR
Series 63
Date: 5/1/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/30/1987
Investment Company Products/Variable Contracts Representative Examination

Current Firm

E-
EAST - WEST CAPITAL CORPORATION
EAST - WEST CAPITAL CORPORATION | LANG SECURITIES COMPANY | LANG SECURITIES | EAST-WEST CAPITAL CORPORATION

CRD#: 16348 / SEC#: , 8-40740

BD
Terminated by SEC on 02/07/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 10/26/1988
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

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

EAST - WEST CAPITAL CORPORATION

CRD#: 16348

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