Thomas F. White
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 Francisco White was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1997. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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
February 3, 2009 - November 4, 2014
APW CAPITAL, INC.
September 24, 2007 - January 2, 2014
CAP PARTNERS, LLC
February 18, 2004 - January 2, 2008
FIRST ALLIED SECURITIES, INC.
September 4, 2002 - January 2, 2008
FIRST ALLIED SECURITIES, INC.
April 18, 2001 - September 6, 2002
FIFTH THIRD SECURITIES, INC.
November 6, 1997 - May 2, 2001
IDS LIFE INSURANCE COMPANY
November 6, 1997 - May 2, 2001
AMERIPRISE FINANCIAL SERVICES, 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
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
