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TS

Thomas J. Sinclair

Some features on this profile are disabled
CRD#: 2104458
TS

Professional summary

Thomas James Sinclair was barred by the FINRA 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 1991. Prior to being barred, Thomas had worked at 4 firms, which includes KUHNS BROTHERS SECURITIES CORPORATION, SOUTHRIDGE INVESTMENT GROUP LLC, NORTHEAST SECURITIES LLC, MORGAN SCHIFF & CO.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

February 6, 2009 - April 23, 2009

KUHNS BROTHERS SECURITIES CORPORATION

BD
CRD#: 47331
LIME ROCK, CT
Past

January 18, 2008 - December 10, 2008

SOUTHRIDGE INVESTMENT GROUP LLC

BD
CRD#: 45531
FAIRFIELD, CT
Past

July 1, 2004 - January 23, 2008

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

April 10, 1991 - February 28, 2005

MORGAN SCHIFF & CO.,INC.

BD
CRD#: 15470
NEW YORK, NY

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: 4/11/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/15/1991
Financial and Operations Principal Examination

Current Firm

KB
KUHNS BROTHERS SECURITIES CORPORATION
KUHNS BROTHERS SECURITIES CORPORATION

CRD#: 47331 / SEC#: , 8-51748

BD
Terminated by SEC on 02/04/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/15/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KUHNS BROTHERS, INC.PARENT COMPANY
BLOCH, HARRY NATHANIEL IIFINOP23688
KUHNS, JOHN DOUGLASCHAIRMAN/CEO851444
NORTH, THADDEUS JAMESCHIEF COMPLIANCE OFFICER2100909

Disclosures

Regulatory Event6

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

KUHNS BROTHERS SECURITIES CORPORATION

CRD#: 47331

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