Thomas R Day
Professional Summary
Thomas R Day was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1988 - 2012. Thomas had worked at 5 firms and has passed the Series 63, Series 87, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
Past
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Current Firm
RELIGARE CAPITAL MARKETS INC.
Contact Information
Established
Delaware since 07/30/2008Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Feb 2010About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jun 2006Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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