Thomas J. Burns
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 James Burns JR, who also goes by Thomas James Burns, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2006 - July 5, 2016
FIRST CLEARING, LLC
August 9, 2001 - October 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1998 - May 1, 2000
BROOKLIGHT PLACE SECURITIES, INC.
December 13, 1996 - May 18, 1998
VOYA FINANCIAL ADVISORS, INC.
January 25, 1996 - April 5, 1996
AMSOUTH INVESTMENT SERVICES, INC.
November 28, 1994 - January 29, 1996
MORGAN STANLEY DW INC.
November 8, 1993 - August 30, 1994
METROPOLITAN LIFE INSURANCE COMPANY
November 8, 1993 - August 30, 1994
MSI FINANCIAL SERVICES, INC.
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
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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.
