Tom W. Krag
Professional summary
Tom Wade Krag was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tom Wade Krag was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1990. Tom had worked at 4 firms and has passed the Series 63, Series 7 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
October 1, 1999 - December 31, 2000
WMA SECURITIES, INC.
July 29, 1994 - March 2, 1995
UBS FINANCIAL SERVICES INC.
April 22, 1991 - July 29, 1994
NBC CAPITAL MARKETS GROUP, INC.
August 24, 1990 - April 19, 1991
SECURITIES AMERICA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
