Thomas E. Gackle
Professional summary
Thomas Edward Gackle was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Thomas had worked at 5 firms, which includes LOWELL & COMPANY INC., SIGMA FINANCIAL CORPORATION, GENEOS WEALTH MANAGEMENT INC., SII INVESTMENTS INC., WALNUT STREET SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2014 - April 30, 2015
LOWELL & COMPANY, INC.
September 5, 2006 - April 30, 2015
LOWELL & COMPANY, INC.
August 1, 2005 - August 29, 2006
SIGMA FINANCIAL CORPORATION
May 21, 2003 - June 30, 2005
GENEOS WEALTH MANAGEMENT, INC.
January 19, 2000 - May 30, 2003
SII INVESTMENTS, INC.
October 4, 1996 - May 30, 2003
SII INVESTMENTS, INC.
February 2, 1995 - October 2, 1996
WALNUT STREET SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LOWELL & COMPANY, INC.
CRD#: 24913 / SEC#: 801-69460, 8-41437
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOWELL, WILLIAM HAMILTON | CHIEF COMPLIANCE OFFICER/PRESIDENT/CROP/SROP | 1158722 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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