Thomas A. Smith
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 Allen Smith 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 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2001 - December 5, 2001
FINANCIAL WEST GROUP
March 27, 1997 - July 2, 2001
CENTAURUS FINANCIAL, INC.
September 3, 1996 - March 10, 1997
ZAHORIK COMPANY, INC.
June 13, 1996 - August 2, 1996
1717 CAPITAL MANAGEMENT COMPANY
February 2, 1994 - December 14, 1994
GATEWAY INVESTMENT SERVICES, INC.
December 6, 1989 - November 3, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 1, 1988 - November 15, 1989
CAPITAL BROKERAGE CORPORATION
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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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