George E. Thomas
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.
George Eglington Thomas JR, who also goes by George Eglington Thomas, Tommy Thomas, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1994. George had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 27 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
December 18, 2014 - April 4, 2018
FNEX CAPITAL, LLC
January 21, 2014 - August 5, 2014
MILLER TABAK + CO., LLC
June 16, 2009 - January 9, 2014
ICAPITAL MARKETS LLC
September 5, 2007 - March 3, 2009
CONSTELLATION WEALTH ADVISORS LLC
September 29, 2004 - October 24, 2005
INSTINET, LLC
April 17, 2000 - October 7, 2004
CITIGROUP GLOBAL MARKETS INC.
June 23, 1994 - September 8, 1998
NOMURA SECURITIES INTERNATIONAL, 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
Series 55
Date: 10/20/2004
Limited Representative-Equity Trader ExamCurrent Firm
FNEX CAPITAL, LLC
CRD#: 166316 / SEC#: , 8-69199
Contact information
FINRA licenses (51 States and Territories)
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.
