Thomas E. Zimmerman
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 Earl Zimmerman, who also goes by Thomas Zimmerman, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 9 firms and has passed the Series 63, Series 65, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2010 - December 31, 2011
REGENT CAPITAL GROUP, INC.
February 2, 2009 - February 1, 2010
NEXT GENERATION EQUITY RESEARCH LLC
December 16, 2005 - May 5, 2006
DASH FINANCIAL TECHNOLOGIES LLC
December 19, 2003 - June 9, 2005
ABN AMRO CLEARING USA LLC
July 19, 2002 - December 17, 2003
TERRA NOVA FINANCIAL, LLC
August 30, 2000 - April 24, 2001
SBK-BROOKS INVESTMENT CORP.
February 23, 1999 - March 14, 2000
MELVIN SECURITIES, L.L.C.
October 14, 1997 - April 20, 1998
NATIONAL SECURITIES CORPORATION
June 22, 1988 - October 21, 1989
WCI SECURITIES, LTD.
State Registrations and Notice Filings
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Exams
Current Firm
REGENT CAPITAL GROUP, INC.
CRD#: 126881 / SEC#: , 8-65923
Contact information
Documents
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.
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