TW
Thomas C. Wamsley
MGI FUNDS DISTRIBUTORS
Phoenix, AZ 85016
Some features on this profile are disabled
CRD#: 2608849
TW
Professional summary
Thomas Casey Wamsley, who also goes by Casey Wamsley, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Phoenix, Arizona.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Casey Wamsley
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Casey Wamsley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 17, 2020 - Present
MGI FUNDS DISTRIBUTORS, LLC
Office #1: 2335 E. Camelback Road, Phoenix, AZ 85016BD
CRD#: 35682
Phoenix, AZ
Past
February 25, 2010 - May 14, 2010
MRA ASSOCIATES
RIA
CRD#: 152734
PHOENIX, AZ
Past
October 2, 2007 - January 22, 2010
MILLER/RUSSELL & ASSOCIATES, INC.
RIA
CRD#: 131483
PHOENIX, AZ
Past
August 26, 2004 - May 15, 2007
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Past
July 21, 2000 - January 23, 2001
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2021)
RR
Alaska(1/5/2021)
RR
Arizona(9/18/2020)
RR
Arkansas(1/5/2021)
RR
California(9/23/2020)
RR
Colorado(9/23/2020)
RR
Connecticut(9/23/2020)
RR
Delaware(1/5/2021)
RR
District of Columbia(1/5/2021)
RR
Florida(1/5/2021)
RR
Georgia(1/5/2021)
RR
Hawaii(1/5/2021)
RR
Idaho(1/5/2021)
RR
Illinois(1/5/2021)
RR
Indiana(1/5/2021)
RR
Iowa(1/5/2021)
RR
Kansas(1/5/2021)
RR
Kentucky(1/5/2021)
RR
Louisiana(1/5/2021)
RR
Maine(1/5/2021)
RR
Maryland(1/5/2021)
RR
Massachusetts(9/23/2020)
RR
Michigan(1/5/2021)
RR
Minnesota(9/23/2020)
RR
Mississippi(1/5/2021)
RR
Missouri(1/5/2021)
RR
Montana(1/5/2021)
RR
Nebraska(1/5/2021)
RR
Nevada(1/5/2021)
RR
New Hampshire(1/5/2021)
RR
New Jersey(1/5/2021)
RR
New Mexico(1/5/2021)
RR
New York(9/23/2020)
RR
North Carolina(1/5/2021)
RR
North Dakota(1/5/2021)
RR
Ohio(1/5/2021)
RR
Oklahoma(1/5/2021)
RR
Oregon(1/5/2021)
RR
Pennsylvania(1/5/2021)
RR
Puerto Rico(1/6/2023)
RR
Rhode Island(1/5/2021)
RR
South Carolina(1/5/2021)
RR
South Dakota(1/5/2021)
RR
Tennessee(1/5/2021)
RR
Texas(9/23/2020)
RR
Utah(1/5/2021)
RR
Vermont(1/5/2021)
RR
Virginia(1/5/2021)
RR
Washington(1/5/2021)
RR
West Virginia(1/5/2021)
RR
Wisconsin(1/5/2021)
RR
Wyoming(1/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/16/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MGI FUNDS DISTRIBUTORS, LLC
MGI FUNDS DISTRIBUTORS, INC. | OFFIT FUNDS DISTRIBUTOR, INC. | MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
