Thomas A. Roupe
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 Allen Roupe, who also goes by Tom Roupe, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 62, Series 79TO, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2020 - May 5, 2023
AVALON WEALTH MANAGEMENT LLC
February 15, 2006 - February 6, 2020
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
November 28, 2000 - February 13, 2006
GOLDMAN SACHS & CO. LLC
November 15, 1993 - October 2, 2000
MORGAN STANLEY & CO. LLC
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
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
AVALON WEALTH MANAGEMENT LLC
CRD#: 162745 / SEC#: , 8-69066
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
