Thomas G. Nauman
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 Garth Nauman, who also goes by Tom Nauman, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2004 - February 9, 2007
WALLSTREET*E FINANCIAL SERVICES, INC.
August 21, 2002 - August 6, 2004
1ST DISCOUNT BROKERAGE, INC.
February 17, 1993 - August 21, 2002
ACUMENT SECURITIES, INC.
October 8, 1990 - December 24, 1992
EDWARD JONES
September 24, 1987 - August 29, 1990
DEAN SECURITIES, LLC
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
WALLSTREET*E FINANCIAL SERVICES, INC.
CRD#: 43896 / SEC#: , 8-50464
Contact information
Documents
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.
