Thomas H. Fee
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 Harris Fee 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
March 18, 2019 - October 12, 2023
BTIG, LLC
September 9, 2010 - July 10, 2018
TRUIST SECURITIES, INC.
April 1, 2009 - August 20, 2010
CANACCORD GENUITY SECURITIES LLC
October 1, 1997 - April 6, 2009
BANC OF AMERICA SECURITIES LLC
August 12, 1997 - October 1, 1997
MONTGOMERY SECURITIES
October 18, 1996 - August 7, 1997
HAMBRECHT & QUIST LLC
March 21, 1996 - October 16, 1996
MONTGOMERY SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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