Thomas James Burns Jr
Professional Summary
Thomas James Burns JR, who also goes by Thomas James Burns, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1993 - 2016. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 14, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas James Burns
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
CORESTATES SECURITIES CORP | FIRST CLEARING, LLC | FIRST CLEARING CORPORATION
Contact Information
Established
Delaware since 03/12/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
34Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1993About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2002About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2001About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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