Tyler E. Thors
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.
Tyler Ernest Thors, who also goes by Tyler E Thors, was a registered financial professional .
Tyler is a previously registered financial professional and started their career in finance in 1992. Tyler had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2022 - April 10, 2025
RIALTO MARKETS LLC
September 10, 2019 - September 16, 2021
IMPERIAL CAPITAL, LLC
March 29, 2007 - June 3, 2013
JEFFERIES HIGH YIELD TRADING, LLC
January 11, 2005 - December 7, 2018
JEFFERIES LLC
July 31, 1999 - January 10, 2005
INTL FCSTONE CREDIT TRADING LLC
May 26, 1994 - February 10, 2000
MILLER TABAK HIRSCH & CO.
November 3, 1992 - June 3, 1994
ADVEST, INC.
August 13, 1992 - September 4, 1992
CITICORP INVESTMENT SERVICES
April 13, 1992 - August 25, 1992
ADVEST, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RIALTO MARKETS LLC
CRD#: 283477 / SEC#: , 8-69756
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 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.
