Charles J. Thomas
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.
Charles Jason Thomas, who also goes by Cj Thomas, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 8 firms and has passed the Series 63, SIE, Series 31, 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
April 29, 2016 - July 27, 2016
SCOTTRADE, INC.
August 24, 2015 - October 16, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 17, 2009 - September 16, 2013
AMERITAS INVESTMENT COMPANY, LLC
January 31, 2006 - September 16, 2013
AMERITAS INVESTMENT COMPANY, LLC
January 24, 2002 - June 24, 2005
ADVEST, INC.
February 1, 1999 - March 31, 2000
CITIGROUP GLOBAL MARKETS INC.
April 7, 1998 - September 18, 1998
COMMONWEALTH FINANCIAL NETWORK
December 9, 1996 - June 16, 1997
QUICK & REILLY, INC.
August 13, 1996 - December 25, 1996
WS GRIFFITH SECURITIES, INC.
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
