Thomas W. Wingfield
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 Whetsell Wingfield JR, who also goes by Tom Wingfield Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2015 - July 7, 2016
STONECREST CAPITAL MARKETS, INC.
October 22, 2010 - March 31, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
October 19, 2010 - March 31, 2015
CAPITAL GUARDIAN, LLC
April 4, 2005 - September 28, 2010
ANDERSON & STRUDWICK, INCORPORATED
December 6, 2004 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
December 3, 2004 - September 28, 2010
ANDERSON & STRUDWICK, INCORPORATED
October 2, 2003 - December 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - December 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 14, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 11, 1995 - May 27, 1998
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STONECREST CAPITAL MARKETS, INC.
CRD#: 39616 / SEC#: , 8-48754
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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