Thomas G. Anderson
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 George Anderson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2015 - April 5, 2017
INVESCO DISTRIBUTORS, INC.
May 29, 2008 - May 15, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 21, 2007 - May 15, 2008
MML DISTRIBUTORS, LLC
August 16, 2001 - October 23, 2001
EQUITABLE DISTRIBUTORS, LLC
December 4, 1998 - February 18, 1999
METROPOLITAN LIFE INSURANCE COMPANY
December 4, 1998 - February 18, 1999
MSI FINANCIAL SERVICES, INC.
September 18, 1996 - May 8, 1997
CHASE INVESTMENT SERVICES CORP.
August 14, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
August 2, 1991 - October 30, 1991
IDS LIFE INSURANCE COMPANY
August 2, 1991 - October 30, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 1990 - May 7, 1997
SECURIAN FINANCIAL SERVICES, INC.
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
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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