Thomas V. Wornham
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 Van Allen Wornham, who also goes by Tom Wornham, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 7 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2000 - April 6, 2005
GUSTAFSON FINANCIAL, INC.
December 18, 1998 - July 26, 1999
EQUITY PROGRAMS CORPORATION
December 7, 1993 - December 1, 1998
SPECTRUM SECURITIES, INC.
April 30, 1991 - November 19, 1991
FINANCIAL WEST GROUP
October 16, 1989 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
February 8, 1989 - October 30, 1989
MESA SECURITIES CORPORATION
March 29, 1988 - December 13, 1988
INDEPENDENT INVESTMENT BROKERS OF AMERICA
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
GUSTAFSON FINANCIAL, INC.
CRD#: 16194 / SEC#: , 8-33456
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUSTAFSON, VANCE AMBROSE | CHAIRMAN?CHIEF COMPLIANCE OFFICER | 232308 |
Disclosures
| Regulatory Event | 3 |
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.
