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Thomas Mcdermott Head

CRD# 2093454·Registered 1998 - 2008
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas Mcdermott Head was a registered financial advisor. Thomas was a previously registered financial advisor and started their career in finance 1998 - 2008. Thomas had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

GLENCREST INVESTMENT ADVISORS, INC.·CRD# 119565
RIA
Claremont, CA
July 26, 2006 - May 6, 2008
DIVERSIFIED SECURITIES, INCORPORATED·CRD# 222
BD
Seal Beach, CA
November 22, 2002 - November 5, 2004
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
RIA
Indian Wells, CA
August 8, 2001 - October 30, 2002
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
November 13, 2000 - October 30, 2002
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
August 25, 1998 - November 30, 2000

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Current Firm

No current employment

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1998About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1998About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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