David P. 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.
David Patrick Thomas was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1997. David had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2010 - October 17, 2011
SEACOAST INVESTOR SERVICES, INC.
September 27, 2007 - December 15, 2010
SII INVESTMENTS, INC.
September 27, 2007 - December 15, 2010
SII INVESTMENTS, INC.
January 17, 2006 - October 2, 2007
ON INVESTMENT MANAGEMENT CO
November 8, 2004 - October 2, 2007
THE O.N. EQUITY SALES COMPANY
February 11, 2002 - November 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 22, 1999 - February 13, 2002
EDWARD JONES
November 10, 1998 - April 24, 1999
PACIFIC WEST SECURITIES, INC.
February 18, 1997 - October 30, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
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
SEACOAST INVESTOR SERVICES, INC.
CRD#: 18615 / SEC#: , 8-36876
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELVIDGE, PAUL SR | PRESIDENT-CHIEF COMPLIANCE OFFICER,FINOP,CFO, AML COMPLIANCE OFFICER | 200722 |
| ELVIDGE, PAUL | COO, ROSFP |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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