Thomas Diggs
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 Diggs JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 8 firms and has passed the Series 63, Series 7, Series 62 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
March 7, 1998 - April 20, 2006
THE MALACHI GROUP, INC.
September 5, 1996 - February 11, 1998
ARGENT SECURITIES, INC.
September 23, 1993 - September 10, 1996
H.J. MEYERS & CO., INC.
January 11, 1993 - September 10, 1993
BURNETT, GREY & CO., INC.
October 23, 1992 - December 31, 1992
FIRST NEW ENGLAND SECURITIES CORPORATION
January 2, 1992 - September 16, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 24, 1990 - January 3, 1992
CHATFIELD DEAN & CO., INC.
September 7, 1990 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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 62
Date: 9/5/1990
Corporate Securities Limited Representative ExaminationCurrent Firm
THE MALACHI GROUP, INC.
CRD#: 42320 / SEC#: , 8-49804
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
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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