Thomas J. Word
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 Jefferson Word, who also goes by Jeff Word, 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
August 17, 1990 - June 18, 1991
J. W. GANT & ASSOCIATES, INC.
March 2, 1989 - August 11, 1989
FIRST ALLIANCE SECURITIES, INC.
May 19, 1988 - March 1, 1989
PROFILE INVESTMENTS CORPORATION
April 25, 1988 - June 1, 1988
INVESTOCK & CO., INC.
November 25, 1987 - May 4, 1988
SHELTER ROCK SECURITIES CORP.
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
J. W. GANT & ASSOCIATES, INC.
CRD#: 7963 / SEC#: , 8-30910
Contact information
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.
