Thomas R. Slade
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 Robert Slade, who also goes by Tom Slade, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, 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
October 20, 2017 - June 29, 2020
CAPE SECURITIES INC.
June 26, 2017 - August 1, 2023
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
July 7, 2015 - June 27, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 7, 2015 - June 27, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 17, 2009 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
June 12, 2009 - July 7, 2015
STERNE, AGEE & LEACH, INC.
February 4, 2003 - June 15, 2009
MORGAN KEEGAN & COMPANY, LLC
October 4, 2001 - June 15, 2009
MORGAN KEEGAN & COMPANY, LLC
March 12, 1999 - October 22, 2001
ROBERT W. BAIRD & CO. INCORPORATED
June 28, 1996 - March 21, 1999
J.C. BRADFORD & CO.
September 27, 1994 - July 31, 1996
ALEX. BROWN & SONS INCORPORATED
May 19, 1992 - October 7, 1994
UBS FINANCIAL SERVICES INC.
February 24, 1992 - May 26, 1992
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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