Thomas Luke
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 Luke, who also goes by Thomas Cho-tak Luke, Thomas Chotak Luke, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 8 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
June 16, 2008 - May 8, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2004 - March 17, 2008
DEUTSCHE BANK SECURITIES INC.
July 16, 2002 - March 24, 2004
GOLDMAN SACHS & CO. LLC
May 1, 2001 - July 15, 2002
J.P. MORGAN SECURITIES INC.
February 6, 1998 - May 1, 2001
JPMSI
August 30, 1995 - October 24, 1996
CSFP CAPITAL, INC.
October 25, 1994 - October 24, 1996
CREDIT SUISSE SECURITIES (USA) LLC
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
BANC OF AMERICA SECURITIES LLC
CRD#: 26091 / SEC#: , 8-42263
Contact information
Documents
Disclosures
| Regulatory Event | 88 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
