Mark K. Thomas
Professional summary
Mark Kevin Thomas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Mark had worked at 6 firms, which includes WAMU INVESTMENTS INC., ASB FINANCIAL SERVICES, CHARLES SCHWAB & CO. INC., QUEST CAPITAL STRATEGIES INC., SUNAMERICA SECURITIES INC., TRIGEM AMERSTOCK CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 1997 - May 17, 1999
WAMU INVESTMENTS, INC.
January 22, 1997 - July 14, 1997
ASB FINANCIAL SERVICES
February 5, 1996 - August 14, 1996
CHARLES SCHWAB & CO., INC.
May 23, 1995 - November 3, 1995
QUEST CAPITAL STRATEGIES, INC.
September 15, 1994 - December 9, 1994
SUNAMERICA SECURITIES, INC.
July 22, 1993 - March 10, 1994
TRIGEM AMERSTOCK CORPORATION
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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
Red Flags
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