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Thomas J Maier

CRD# 2277672·Registered 1999 - 2014
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas J Maier was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1999 - 2014. Thomas had worked at 5 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

FIG PARTNERS, LLC·CRD# 41554
BD
Cary, NC
June 25, 2013 - June 20, 2014
WORLD EQUITY GROUP, INC.·CRD# 29087
BD
Schaumburg, IL
October 12, 2007 - August 11, 2008
HOWE BARNES HOEFER & ARNETT, INC.·CRD# 2240
BD
Chicago, IL
June 28, 2004 - June 18, 2007
NEWOAK CAPITAL MARKETS LLC·CRD# 104063
BD
New York, NY
October 3, 2003 - December 11, 2003
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
October 6, 1999 - June 26, 2000

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Current Firm

FP
FIG PARTNERS, LLC

BROWN BURKE SECURITIES, INC. | FIG PARTNERS, LLC | FIG ASSET MANAGEMENT LLC | FCA SECURITIES, INC. | BURKE SECURITIES, LLC | BROWN, BURKE SECURITIES, LLC. | BROWN, BURKE SECURITIES, INC. | BROWN, BURKE CAPITAL PARTNERS, INC.

CRD#: 41554 / SEC#: 801-79712, 8-49517
BD
Terminated by SEC on 01/25/2020

Contact Information

Main Address

1475 Peachtree St Ne Suite 800, Atlanta, GA 30309

Established

Georgia since 04/22/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
JANNEY MONTGOMERY SCOTT LLCSOLE STOCKHOLDER463
HODGSON, GEOFFREY MARTINMANAGING MEMBER2563404
JONES, LAUREN BARTLETTCHIEF COMPLIANCE OFFICER FINOP CFO1328072

Disclosures

Regulatory Event

4

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2013About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 2013About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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