Thomas E. Reece
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 Edward Reece, who also goes by Thomas E Reece, Tom Reece, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2001 - November 29, 2005
NATIONAL ADVISORY CONSORTIUM, LLC
September 26, 2000 - June 3, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 3, 1998 - March 24, 2015
PRIDE FINANCIAL, LLC
July 23, 1993 - June 3, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
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.
