Thaddeus J. North
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.
Thaddeus James North, who also goes by Tad North, was a registered financial professional .
Thaddeus is a previously registered financial professional and started their career in finance in 1997. Thaddeus had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2013 - December 28, 2017
KUHNS BROTHERS SECURITIES CORPORATION
August 4, 2011 - January 29, 2013
OCEAN CROSS CAPITAL MARKETS LLC
August 20, 2008 - October 15, 2009
MD GLOBAL PARTNERS, LLC
February 20, 2008 - August 16, 2011
SOUTHRIDGE INVESTMENT GROUP LLC
February 23, 2005 - February 15, 2008
SMH CAPITAL INVESTMENTS LLC
January 1, 1998 - January 10, 2005
OPPENHEIMER & CO. INC.
December 8, 1997 - December 15, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
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
Series 55
Date: 8/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
KUHNS BROTHERS SECURITIES CORPORATION
CRD#: 47331 / SEC#: , 8-51748
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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