Thomas E. Houck
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 Edward Houck was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 7 firms and has passed the Series 66 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
March 1, 2011 - September 30, 2013
LEGEND ADVISORY, LLC
February 10, 2011 - September 30, 2013
LEGEND EQUITIES CORPORATION
February 17, 2004 - February 11, 2011
QA3 FINANCIAL LLC
February 2, 2004 - February 11, 2011
QA3 FINANCIAL CORP.
January 22, 2003 - January 29, 2004
SECURITIES AMERICA ADVISORS, INC.
December 21, 2001 - January 29, 2004
SECURITIES AMERICA, INC.
December 7, 1998 - December 31, 1999
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LEGEND ADVISORY, LLC
CRD#: 104761 / SEC#: 801-13887
Contact information
Red Flags
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