Thomas C. Bills
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 Christian Bills, who also goes by Tom Bills, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2012 - February 12, 2015
ALLSTON TRADING LLC
September 16, 2004 - April 30, 2012
DASH FINANCIAL TECHNOLOGIES LLC
July 11, 2003 - August 27, 2004
GREAT POINT CAPITAL LLC
February 9, 2000 - January 4, 2002
WAVE SECURITIES, LLC
November 19, 1998 - July 31, 1999
TERRA NOVA FINANCIAL, 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
Series 55
Date: 4/24/2001
Limited Representative-Equity Trader ExamCurrent Firm
ALLSTON TRADING LLC
CRD#: 125499 / SEC#: , 8-65807
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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.
