Thomas I. Willingham
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 Irvin Willingham III, who also goes by Thomas I Willingham III, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2003 - February 29, 2016
EWING BEMISS
October 1, 1999 - March 11, 2002
WELLS FARGO CLEARING SERVICES, LLC
May 19, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
March 2, 1998 - April 27, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 22, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
EWING BEMISS
CRD#: 32214 / SEC#: , 8-45763
Contact information
Documents
Red Flags
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