Thomas Foster
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 Foster, who also goes by Tom Foster, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2013 - November 5, 2013
QUEST CAPITAL STRATEGIES, INC.
June 16, 2006 - May 25, 2011
QUEST CAPITAL STRATEGIES, INC.
August 12, 2003 - October 19, 2004
LEGEND EQUITIES CORPORATION
December 20, 1999 - December 20, 2001
NATIONAL PLANNING CORPORATION
June 11, 1994 - December 31, 1997
NATIONAL PLANNING CORPORATION
April 11, 1991 - July 1, 1992
QUEST CAPITAL STRATEGIES, INC.
April 26, 1988 - May 24, 1989
PRUCO SECURITIES, LLC.
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
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
