James D. Thomas
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.
James Day Thomas, who also goes by Day Thomas, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2017 - July 17, 2017
ATEL SECURITIES CORPORATION
March 20, 2015 - December 4, 2015
REALTY CAPITAL SECURITIES, LLC
November 6, 2012 - February 13, 2015
ARCHER DISTRIBUTORS, LLC
March 19, 2007 - November 5, 2012
NORTHERN LIGHTS DISTRIBUTORS, LLC
November 29, 2000 - February 27, 2007
GUGGENHEIM DISTRIBUTORS, LLC
June 15, 1993 - December 31, 1997
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
ATEL SECURITIES CORPORATION
CRD#: 17229 / SEC#: , 8-35271
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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