Thomas P. Hoover
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 Paul Hoover, who also goes by Tom Hoover, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 53, 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
October 17, 2016 - April 1, 2026
KESTRA INVESTMENT SERVICES, LLC
October 3, 2016 - April 1, 2026
KESTRA ADVISORY SERVICES, LLC
November 17, 2010 - December 31, 2016
CAREY, THOMAS, HOOVER & BREAULT ADVISORS
April 25, 2002 - December 31, 2010
CAREY, THOMAS, HOOVER, & BREAULT, INC.
July 5, 1995 - October 17, 2016
CAREY, THOMAS, HOOVER, & BREAULT, INC.
December 5, 1989 - July 10, 1995
RHODES SECURITIES, INC.
February 12, 1988 - November 24, 1989
FIRM ONE SECURITIES, INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 10/1/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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