Thomas N. Phelps
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.
Thomas Nims Phelps, who also goes by Tom Phelps, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 2 firms and has passed the Series 63, 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
March 29, 2012 - May 1, 2012
LEIGH BALDWIN & CO., LLC
May 20, 1991 - March 29, 2012
OMNIVEST, INC.
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
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
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 756 |
| AUM (Assets Under Management) | $ 285,522,208 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 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.
