Thomas R. Anderson
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 Roy Anderson, who also goes by Thomas Anderson, Thomas R Anderson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 6, Series 2 and Series 30 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, 2021 - July 21, 2021
VIGILANT DISTRIBUTORS, LLC
February 10, 2009 - July 17, 2019
MANNING & NAPIER ADVISORS, LLC
February 10, 2009 - July 17, 2019
MANNING & NAPIER INVESTOR SERVICES, INC.
January 3, 2006 - November 5, 2008
FORESIDE FUND SERVICES, LLC
December 2, 2004 - December 31, 2005
CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.
December 1, 2004 - February 12, 2009
TURNER INVESTMENTS, L.P.
May 9, 2003 - December 1, 2004
TURNER INVESTMENTS, L.P.
February 15, 2002 - December 1, 2004
CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.
April 16, 1998 - January 26, 2001
NUVEEN SECURITIES, LLC
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 2
Date: 12/28/1995
Non-Member General Securities ExaminationCurrent Firm
VIGILANT DISTRIBUTORS, LLC
CRD#: 285573 / SEC#: , 8-69854
Contact information
FINRA licenses (53 States and Territories)
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.
