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TC

Thomas V. Conwell

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CRD#: 2095817
TC

Professional summary

Thomas Victor Conwell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Thomas had worked at 4 firms, which includes BIRCHTREE FINANCIAL SERVICES LLC, WELLS FARGO CLEARING SERVICES LLC, THE ADVISORS GROUP INC., BMA FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 18, 1998 - December 17, 1999

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

November 24, 1997 - September 29, 1998

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 2, 1994 - November 25, 1997

THE ADVISORS GROUP, INC.

BD
CRD#: 14035
BETHESDA, MD
Past

November 29, 1993 - March 14, 1994

BMA FINANCIAL SERVICES, INC.

BD
CRD#: 7943
KANSAS CITY, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/16/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/26/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/26/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/26/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BF
BIRCHTREE FINANCIAL SERVICES LLC
ALL AMERICAN SECURITIES, INC. | BIRCHTREE FINANCIAL SERVICES, INC. | BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014 / SEC#: , 8-31632

BD
Terminated by SEC on 07/17/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Oklahoma since 11/10/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MCGLADREY WEALTH MANAGEMENT LLCMEMBER111221
PHILLIPS, DALE STEVENPRESIDENT, CFO & DIRECTOR2080064
RIPPBERGER, THOMAS KENNETHCHIEF COMPLIANCE OFFICER & SECRETARY3131447

Disclosures

Regulatory Event4
Arbitration1

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.

Company Information

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

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