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Thomas S. Moles

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CRD#: 2805746
TM

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 Seaver Moles, who also goes by Scooter Moles, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 4 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scooter Moles

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 25, 2015 - April 16, 2024

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

August 1, 2014 - August 4, 2015

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

February 23, 2010 - July 24, 2014

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

July 8, 1998 - June 25, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/22/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2014
General Securities Principal Examination

Current Firm

AD
AMG DISTRIBUTORS, INC.
333 GLOBAL ADVISERS | THE MANAGERS FUNDS LLC | THE MANAGERS FUNDS L.P. | THE MANAGERS FUNDS | MANAGERSCHOICE | MANAGERS INVESTMENT GROUP LLC | MANAGERS DISTRIBUTORS, INC. | MANAGERS AMG FUNDS | EAIMC PARTNERS L.P. | AMG DISTRIBUTORS, INC.

CRD#: 27314 / SEC#: , 8-43057

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
680 Washington Blvd Suite 500, Stamford, CT 06901
Mailing Address
680 Washington Blvd Suite 500, Stamford, CT 06901
Phone number
(203) 299-3500
Established
Delaware since 12/29/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMG FUNDS LLCSOLE SHAREHOLDER153456
GALIS, AARONDIRECTOR7333959
HOPKINS, THOMAS JOHNPRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER AND FINOP1835087
JACOBS ANTONACCIO, RACHEL ELIZABETHHEAD OF CLIENT SOLUTIONS AND PRINCIPAL3189490
KINNE, KEITHA LEEPRESIDENT, PRINCIPAL AND CHIEF OPERATING OFFICER2039630
SPELLMAN, PATRICK JOSEPHCHIEF COMPLIANCE OFFICER3086822

Disclosures

Regulatory Event2

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.

Company Information

AMG DISTRIBUTORS, INC.

CRD#: 27314

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