Thomas B. Applegate
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 B Applegate, who also goes by Thomas Applegate, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 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
May 12, 2015 - September 30, 2016
NCG SECURITIES LLC
March 9, 2015 - October 17, 2016
NEWPORT CAPITAL GROUP, LLC
August 16, 2010 - June 20, 2013
VOYA INVESTMENTS DISTRIBUTOR, LLC
June 24, 2009 - July 1, 2013
VOYA INVESTMENT MANAGEMENT CO. LLC
June 24, 2009 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
November 1, 2004 - November 28, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 1989 - November 28, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NCG SECURITIES LLC
CRD#: 160481 / SEC#: , 8-69033
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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