Albert D. Thomasson
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.
Albert Daniel Thomasson MR., who also goes by Albert Daniel Thomasson, Dan Thomasson, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1997. Albert had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2007 - July 10, 2015
HMC INVESTMENTS, LLC
April 4, 2007 - July 10, 2015
HARBERT FUND ADVISORS, INC.
October 15, 2003 - May 18, 2007
AMSOUTH ASSET MANAGEMENT, INC.
December 20, 2002 - October 15, 2003
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
October 21, 1997 - May 26, 2000
PRUDENTIAL EQUITY GROUP, 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
HMC INVESTMENTS, LLC
CRD#: 40581 / SEC#: , 8-49140
Contact information
FINRA licenses (2 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.
