Thomas K. Szulga
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 Keith Szulga, who also goes by Thomas K Szulga, Thomas Kieth Szulga, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 53 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
September 17, 2013 - February 17, 2015
MISCHLER FINANCIAL GROUP, INC.
August 10, 2009 - December 14, 2012
MISCHLER FINANCIAL GROUP, INC.
March 11, 2008 - April 14, 2008
MSC - BD, LLC
November 30, 2005 - March 31, 2006
MVP AMERICAN SECURITIES
September 8, 2003 - December 4, 2003
ALLEGISONE SECURITIES, INC.
December 18, 2001 - August 8, 2002
WNC CAPITAL CORPORATION
August 30, 2000 - October 18, 2000
BONDHUB, INC.
August 29, 1997 - February 16, 2000
FIRST ALLIED SECURITIES, INC.
January 6, 1997 - September 19, 1997
NEWPORT COAST SECURITIES, INC.
August 28, 1991 - October 26, 1994
JEFFERIES EXECUTION SERVICES, INC.
September 4, 1990 - May 8, 1996
JEFFERIES LLC
May 23, 1989 - June 12, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 23, 1989 - August 22, 1989
BATEMAN EICHLER, HILL RICHARDS, 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
Current Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
