Serdrick L. Thomas
Professional summary
Serdrick Lee Thomas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Serdrick is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Serdrick had worked at 4 firms, which includes PAULSON INVESTMENT COMPANY LLC, INVESTORS ASSOCIATES INC., ROBERT TODD FINANCIAL CORP., H.J. MEYERS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 1996 - May 22, 1997
PAULSON INVESTMENT COMPANY LLC
April 20, 1993 - February 29, 1996
INVESTORS ASSOCIATES, INC.
January 7, 1992 - November 28, 1992
INVESTORS ASSOCIATES, INC.
August 26, 1991 - January 10, 1992
ROBERT TODD FINANCIAL CORP.
May 17, 1991 - September 4, 1991
H.J. MEYERS & CO., 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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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