Thomas M. Collins
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 Marshall Collins JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 3 firms and has passed the Series 63, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2006 - November 29, 2007
RIVES, LEAVELL & CO.
January 10, 2005 - May 3, 2006
1ST DISCOUNT BROKERAGE, INC.
November 16, 1992 - December 31, 2004
AMERICAN HERITAGE CHURCH FINANCE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 11/12/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
RIVES, LEAVELL & CO.
CRD#: 11206 / SEC#: , 8-16444
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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