Thomas B. Collins
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 Burton Collins was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2011 - May 15, 2012
W R RICE FINANCIAL SERVICES, INC.
July 15, 2009 - December 31, 2009
CHELSEA FINANCIAL SERVICES
July 30, 2001 - November 4, 2008
QA3 FINANCIAL CORP.
July 30, 1998 - July 27, 2001
MONEY CONCEPTS CAPITAL CORP
February 18, 1997 - May 30, 1997
SIGMA FINANCIAL CORPORATION
March 18, 1996 - February 28, 1997
BROOKLIGHT PLACE SECURITIES, INC.
November 27, 1995 - April 3, 1996
WMA SECURITIES, INC.
June 26, 1995 - December 5, 1995
MEADOWBROOK SECURITIES INC.
April 10, 1991 - October 8, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 10, 1991 - October 8, 1991
PRUCO SECURITIES, LLC.
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
W R RICE FINANCIAL SERVICES, INC.
CRD#: 36700 / SEC#: , 8-47396
Contact information
Disclosures
| Regulatory Event | 3 |
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.
