Thomas A. Coulter
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 A Coulter, who also goes by Thomas Coulter, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - December 31, 2019
LEBENTHAL FINANCIAL SERVICES, INC.
January 3, 1997 - December 31, 2018
NORTHEAST SECURITIES, LLC
March 5, 1996 - December 18, 1996
JARON EQUITIES CORP.
June 19, 1995 - February 26, 1996
SECWEST SECURITIES, INC.
February 24, 1995 - June 9, 1995
WEALTH BUILDERS EQUITY CORPORATION
April 13, 1993 - December 31, 1994
CADARET, GRANT & CO., INC.
November 20, 1989 - December 15, 1992
CROSSLAND INVESTOR SERVICES CORP.
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
LEBENTHAL FINANCIAL SERVICES, INC.
CRD#: 137988 / SEC#: , 8-67140
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
