Thomas J. Brazill
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 Jeffrey Brazill, who also goes by Tom Brazell, 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 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2019 - September 30, 2019
INVICTA CAPITAL LLC
March 1, 2019 - March 25, 2019
WOODBURY FINANCIAL SERVICES, INC.
March 1, 2019 - March 25, 2019
WOODBURY FINANCIAL SERVICES, INC.
December 1, 2006 - March 1, 2019
QUESTAR CAPITAL CORPORATION
May 10, 2006 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
February 11, 2003 - May 22, 2006
USALLIANZ SECURITIES, INC.
July 30, 1999 - December 1, 2006
USALLIANZ SECURITIES, INC.
February 16, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 16, 1994 - February 9, 1999
SIGNATOR INVESTORS, INC.
August 1, 1990 - December 1, 1993
SUN LIFE FINANCIAL DISTRIBUTORS, 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
INVICTA CAPITAL LLC
CRD#: 288101 / SEC#: , 8-69923
Contact information
FINRA licenses (36 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
