Thomas H. Munhollen
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 Henry Munhollen, who also goes by Thomas H Munhollen, Tom Munhollen, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - January 20, 2015
AUSTIN ATLANTIC CAPITAL INC.
May 27, 1998 - January 3, 2012
ICBA SECURITIES
May 4, 1998 - January 3, 2012
VINING-SPARKS IBG, LLC
August 29, 1996 - May 13, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 29, 1996 - May 13, 1998
EQUITABLE ADVISORS, 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
Current Firm
AUSTIN ATLANTIC CAPITAL INC.
CRD#: 43981 / SEC#: , 8-50509
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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