Thomas W. Gay
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 William Gay was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 1998 - November 29, 1999
WIN CAPITAL CORP.
May 26, 1998 - June 3, 1998
THE CAMELOT GROUP, INC.
May 13, 1997 - December 12, 1997
TASIN & COMPANY, INC.
March 5, 1997 - April 28, 1997
GLOBAL EQUITIES GROUP INC
May 29, 1996 - December 16, 1996
EURO-ATLANTIC SECURITIES INC.
February 9, 1996 - June 5, 1996
MONITOR INVESTMENT GROUP, INC.
September 29, 1995 - February 7, 1996
CRESSIDA CAPITAL, INC
March 12, 1993 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
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
WIN CAPITAL CORP.
CRD#: 36172 / SEC#: , 8-47174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KSH TRADING LLC | OWNER | |
| BAYERN, STEVEN JAY | CHAIRMAN, DIRECTOR | 15379 |
| KOLENIK, PATRICK MICHAEL | PRESIDENT, DIRECTOR | 810813 |
| ABLAMSKY, JOHN THOMAS | CFO/SECRETARY/TREASURER/FINOP | 2466780 |
| KOHN, HARVEY RICHARD | DIRECTOR | 817501 |
| QUIGLEY, WILLIAM MICHAEL | COMPLIANCE DIRECTOR | 1968265 |
| SUCOFF, CARY WILLIAM | DIRECTOR | 1156732 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
