Eric S. Thomes
Professional summary
Eric Scott Thomes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Eric had worked at 4 firms, which includes D.L. CROMWELL INVESTMENTS INC., KEY WEST SECURITIES INC., SIGNAL SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
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Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 1997 - March 28, 2003
D.L. CROMWELL INVESTMENTS, INC.
November 1, 1996 - June 10, 1997
KEY WEST SECURITIES, INC.
May 6, 1993 - December 31, 1994
SIGNAL SECURITIES, INC.
June 12, 1992 - November 11, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 55
Date: 7/31/1999
Limited Representative-Equity Trader ExamCurrent Firm
D.L. CROMWELL INVESTMENTS, INC.
CRD#: 37730 / SEC#: , 8-47938
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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