Thomas A. Evans
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 Adam Evans JR was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1970. Thomas had worked at 8 firms and has passed the Series 65, Series 63, Series 15, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2003 - May 17, 2006
RYAN BECK & CO.
April 29, 2002 - May 17, 2006
RYAN BECK & CO.
November 7, 2000 - May 14, 2002
GRUNTAL & CO., L.L.C.
March 31, 1998 - November 9, 2000
CIBC WORLD MARKETS CORP.
September 1, 1997 - April 9, 1998
DB ALEX. BROWN LLC
November 27, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
November 29, 1984 - December 9, 1996
J.P. MORGAN SECURITIES LLC
September 26, 1978 - December 28, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1970 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 15
Date: 10/30/1985
Foreign Currency Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 8/28/1970
Registered Representative ExaminationSeries 8
Date: 4/24/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RYAN BECK & CO.
CRD#: 3248 / SEC#: , 8-12296
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYAN BECK HOLDINGS, INC | SHAREHOLDER | |
| CULLEN, THOMAS WILLIAM | CHIEF FINANCIAL OFFICER | 2702098 |
| KRUSZEWSKI, RONALD JAMES | DIRECTOR | 1434827 |
| PELLEGRINO, JOHN RICHTER | SENIOR V.P.,DIRECTOR OF COMPLIANCE | 826719 |
| PLOTKIN, BEN ALAN | CHAIRMAN AND CEO, DIRECTOR | 1692122 |
| STEGELAND, GARRY JOSEPH | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 1881270 |
| ZEMLYAK, JAMES MARK | DIRECTOR | 1586132 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 5 |
Red Flags
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