Tom P. Fuqua
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.
Tom Porter Fuqua was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1995. Tom had worked at 4 firms and has passed the Series 63, Series 22 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 1999 - August 17, 2001
EDI FINANCIAL, INC.
August 23, 1999 - October 19, 1999
MASSIE CAPITAL, LTD.
June 15, 1998 - September 9, 1998
BENNETT ROSS, INC.
April 26, 1995 - December 31, 1998
RETIREMENT INVESTMENT GROUP
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 62
Date: 4/25/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
EDI FINANCIAL, INC.
CRD#: 15699 / SEC#: , 8-32566
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
