Mark A. Thoma
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.
Mark Anthony Thoma was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2018 - October 31, 2018
ALPS DISTRIBUTORS, INC.
March 14, 2017 - September 21, 2018
MATRIX 360 DISTRIBUTORS, LLC
October 18, 2010 - December 31, 2016
MATRIX CAPITAL GROUP, INC.
January 2, 2009 - March 15, 2010
FORESIDE FUND SERVICES, LLC
March 22, 2006 - January 5, 2009
FORESIDE PLAZA DISTRIBUTORS, LLC
August 22, 2001 - June 29, 2004
STRONG CAPITAL MANAGEMENT INC
December 1, 1997 - June 29, 2004
STRONG INVESTMENTS, INC.
June 20, 1994 - August 11, 1995
FIRSTAR INVESTMENT SERVICES,INC.
March 11, 1992 - May 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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