Thomas K. Harms
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 Kershaw Harms Jr., who also goes by Thomas K Harms, Thomas Kershaw Harms Jr, Thomas Kershaw Harms, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 14, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2023 - December 31, 2024
SUMMIT TRAIL SECURITIES, LLC
February 3, 2017 - August 8, 2023
SUMMIT TRAIL SECURITIES, LLC
August 24, 2012 - November 6, 2015
NATIONAL FINANCIAL SERVICES LLC
August 19, 2009 - September 12, 2011
MORGAN STANLEY
May 20, 2009 - September 12, 2011
MORGAN STANLEY
December 7, 2005 - June 5, 2009
MORGAN STANLEY & CO. LLC
December 10, 1987 - June 5, 2009
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 7/25/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUMMIT TRAIL SECURITIES, LLC
CRD#: 285784 / SEC#: , 8-69859
Contact information
FINRA licenses (39 States and Territories)
Red Flags
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