Thomas D. Wright
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 David Wright, who also goes by Thomas D Wright, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 4, Series 14, Series 53, Series 8 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
April 20, 2016 - August 23, 2018
KESTRA ADVISORY SERVICES, LLC
November 7, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
November 7, 2012 - August 23, 2018
KESTRA INVESTMENT SERVICES, LLC
May 18, 2012 - September 12, 2012
LPL FINANCIAL LLC
May 11, 2012 - September 12, 2012
LPL FINANCIAL LLC
June 4, 2009 - January 25, 2012
GOLDMAN SACHS & CO. LLC
June 20, 2006 - March 30, 2009
LPL FINANCIAL LLC
June 20, 2006 - March 30, 2009
LPL FINANCIAL LLC
February 21, 1997 - June 15, 2006
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
June 11, 1996 - November 26, 1996
LEHWALD, OROSEY & PEPE INCORPORATED
September 15, 1994 - July 2, 1996
JWGENESIS SECURITIES, INC.
September 15, 1994 - July 2, 1996
DMG SECURITIES, INC.
September 14, 1994 - July 2, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 1, 1993 - August 1, 1994
THE BAKER GROUP, LP
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 55
Date: 9/30/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 2/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
