Thomas B. Pittman
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 Brown Pittman, who also goes by Thomas Pittman, Tom Pittman, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 5 firms and has passed the Series 63, Series 7, Series 26 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2012 - March 21, 2014
FAS CORP.
June 13, 2006 - January 15, 2010
NEWPORT GROUP SECURITIES, INC.
August 22, 2005 - March 1, 2006
DOMINION INVESTOR SERVICES, INC.
June 22, 1999 - July 29, 2003
ADP BROKER-DEALER, INC.
September 20, 1997 - May 7, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 1995 - June 10, 1997
ADP BROKER-DEALER, INC.
March 10, 1993 - June 26, 1995
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
FAS CORP.
CRD#: 43536 / SEC#: , 8-50307
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARNES FAMILY REVOCABLE TRUST DATED AUGUST 16, 2013 | STOCKHOLDER | |
| JAMES G. DUSSOLD REVOCABLE TRUST DATED MAY 21, 1996 | STOCKHOLDER | |
| JOHN THOMAS MEIER REVOCABLE TRUST DATED NOVEMBER 11, 2015 | STOCKHOLDER | |
| AMEY, KEVIN PATRICK FISHER | STOCKHOLDER | 5611985 |
| MICHELLE HORTON LIVING TRUST DATED JUNE 19, 2006 | STOCKHOLDER | |
| O'GRADY, JORDAN MICHAEL | STOCKHOLDER | 6091943 |
| BARNES, ANNA | TRUSTEE AND GRANTOR OF BARNES FAMILY REVOCABLE TRUST DATED AUGUST 16, 2013 | 4722952 |
| BARNES, JACOB S | TRUSTEE AND GRANTOR OF BARNES FAMILY REVOCABLE TRUST DATED AUGUST 16, 2013 | 6079812 |
| DUSSOLD, JAMES GERARD | PRESIDENT, TREASURER, DIRECTOR, GRANTOR, TRUSTEE OF THE JAMES G. DUSSOLD REVOCABLE TRUST DATED MAY 21, 1996 | 1380347 |
| GLENN, JACQUELYN ELAYNE | CHIEF COMPLIANCE OFFICER | 2260863 |
| HORTON, BARNABAS D JR | TRUSTEE OF THE MICHELLE HORTON LIVING TRUST DATED JUNE 19, 2006 | |
| HORTON, MICHELLE | TRUSTEE AND GRANTOR OF MICHELLE HORTON LIVING TRUST | 7092037 |
| KRSTIC, MEGAN ASHLEY | AML OFFICER | |
| MEIER, JOHN ALAN | EXECUTIVE VICE PRESIDENT, SECRETARY | 2869160 |
| MEIER, JOHN T | GRANTOR AND TRUSTEE OF THE JOHN THOMAS MEIER REVOCABLE TRUST DATED NOVEMBER 11, 2015 |
Red Flags
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.
