Thomas P. Fuller
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 Page Fuller, who also goes by Tom Fuller, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 15 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 1998 - November 22, 2000
J.D. NICHOLAS & ASSOCIATES, INC.
August 4, 1997 - July 23, 1998
FIVE X SECURITIES, LLC
October 19, 1994 - December 20, 1996
CELADON FINANCIAL GROUP LLC
January 30, 1992 - September 9, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 31, 1989 - January 14, 1992
FIRST AFFILIATED SECURITIES
March 25, 1987 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
April 23, 1985 - March 23, 1987
WACHOVIA SECURITIES, INC.
October 26, 1983 - April 3, 1985
RICHARDSON GREENSHIELDS SECURITIES INC.
February 11, 1981 - November 22, 1983
MORGAN STANLEY DW INC.
January 31, 1980 - March 10, 1981
UBS FINANCIAL SERVICES INC.
November 15, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 12, 1975 - November 12, 1979
E. F. HUTTON & COMPANY INC
October 21, 1974 - April 6, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 13, 1973 - August 5, 1974
CARREAU, SMITH, INC.
April 13, 1971 - November 4, 1973
BALANCED SECURITY PLANNING, 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
Current Firm
J.D. NICHOLAS & ASSOCIATES, INC.
CRD#: 44791 / SEC#: , 8-50822
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
