Theodore T. Tambke
Professional summary
Theodore Thompson Tambke was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Theodore is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Theodore had worked at 3 firms, which includes MIDSOUTH CAPITAL INC., FIRST UNION CAPITAL MARKETS CORP., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 1997 - August 21, 2000
MIDSOUTH CAPITAL, INC.
February 4, 1996 - April 17, 1997
FIRST UNION CAPITAL MARKETS CORP.
June 23, 1995 - February 2, 1996
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
Red Flags
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