Thomas D. Kienlen
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 Dale Kienlen was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 10 firms and has passed the Series 63, Series 1, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 1988 - February 8, 1991
AEROSTAR SECURITIES CORPORATION
October 5, 1983 - June 15, 1989
NEW ENGLAND SECURITIES
November 15, 1977 - June 30, 1988
TITAN/VALUE EQUITIES GROUP, INC.
October 21, 1975 - December 11, 1977
M. H. DECKARD & CO., INC.
July 12, 1974 - March 13, 1976
TOWER SQUARE SECURITIES, INC.
December 7, 1973 - July 12, 1974
ENTERPRISE FUND DISTRIBUTORS, INC.
November 6, 1973 - May 19, 1975
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 16, 1973 - September 14, 1973
VANSANCO SERVICES, INC.
February 9, 1972 - December 27, 1972
ALL AMERICAN MANAGEMENT CORPORATION
October 26, 1971 - March 10, 1972
EQUITY FUNDING SECURITIES CORPORATION
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
Series 1
Date: 10/22/1971
Registered Representative ExaminationSeries 40
Date: 1/27/1978
Registered Principal ExaminationCurrent Firm
AEROSTAR SECURITIES CORPORATION
CRD#: 21646 / SEC#: , 8-39170
Contact information
Documents
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.
