Thomas M. Lester
Professional summary
Thomas Michael Lester Jr, who also goes by Thomas Michael Lester, Tom Lester, is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Ann Arbor, Michigan.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Michael Lester Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 29, 2004 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
June 10, 1997 - October 22, 2004
ENTERPRISE FUND DISTRIBUTORS, INC.
May 8, 1991 - March 11, 1997
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
August 7, 1990 - February 13, 1991
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/29/2004)
(10/29/2004)
(10/29/2004)
(10/29/2004)
(12/21/2005)
(10/29/2004)
(6/4/2015)
Exams
FINRA
Current Firm
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145 / SEC#: , 8-66096
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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