Thomas C. Denham
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 Charles Denham, who also goes by Tom Denham, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 9 firms and has passed the Series 65, Series 63, Series 7 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
October 3, 2012 - October 23, 2012
MSEC, LLC
February 14, 2011 - October 3, 2012
SECURITIES SERVICE NETWORK, LLC
June 4, 2002 - February 11, 2011
QA3 FINANCIAL CORP.
February 13, 2002 - June 3, 2002
ASSIST INVESTMENT MANAGEMENT COMPANY, INC.
August 24, 2000 - August 9, 2016
MARINER WEALTH ADVISORS
May 3, 1999 - March 30, 2001
PARK AVENUE SECURITIES LLC
July 31, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
October 30, 1993 - July 11, 1996
CUNA BROKERAGE SERVICES, INC.
June 17, 1987 - October 29, 1993
CENTURY INVESTORS OF AMERICA, 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
MSEC, LLC
CRD#: 154327 / SEC#: , 8-68627
Contact information
FINRA licenses (52 States and Territories)
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.
