John L. Thomas
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.
John Llewellyn Thomas was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 8 firms and has passed the Series 63, SIE, 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 28, 1996 - December 1, 2015
WHITEHALL-PARKER SECURITIES, INC.
May 16, 1996 - October 4, 1996
H.J. MEYERS & CO., INC.
April 28, 1993 - June 30, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 28, 1993 - June 30, 1995
EQUITABLE ADVISORS, LLC
September 16, 1992 - January 25, 1993
IDS LIFE INSURANCE COMPANY
September 16, 1992 - January 25, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
June 10, 1991 - May 5, 1992
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
November 15, 1990 - May 14, 1991
LIGHT SECURITIES
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
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
