Seldon T. Tompkins
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.
Seldon Taylor Tompkins JR was a registered financial advisor .
Seldon is a previously registered financial advisor and started their career in finance in 1995. Seldon had worked at 6 firms and has passed the Series 65, Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2005 - May 29, 2009
ANDERSON & STRUDWICK, INCORPORATED
August 6, 2002 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
July 3, 2002 - May 29, 2009
ANDERSON & STRUDWICK, INCORPORATED
May 1, 2002 - July 25, 2002
RBC CAPITAL MARKETS, LLC
March 9, 2002 - July 25, 2002
RBC CAPITAL MARKETS, LLC
March 28, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
June 9, 1998 - March 28, 2001
BRANCH, CABELL & CO., INC.
May 17, 1995 - May 17, 1998
FIRST UNION CAPITAL MARKETS CORP.
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
ANDERSON & STRUDWICK, INCORPORATED
CRD#: 48 / SEC#: , 8-18206
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
