Thomas A. Mackenzie
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 Ashplant Mackenzie, who also goes by Thomas A Mackenzie, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 5 firms and has passed the Series 63, Series 1 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
July 10, 1995 - April 1, 2014
FIRST WILSHIRE SECURITIES, INC.
March 27, 1995 - August 8, 1995
H.J. MEYERS & CO., INC.
October 31, 1994 - June 27, 1995
MEYERS SECURITIES CORPORATION
October 21, 1977 - October 18, 1994
DICKINSON & CO.
October 1, 1971 - November 14, 1977
E. F. HUTTON & COMPANY INC
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 1
Date: 9/20/1971
Registered Representative ExaminationCurrent Firm
FIRST WILSHIRE SECURITIES, INC.
CRD#: 6609 / SEC#: , 8-17742
Contact information
Disclosures
| Regulatory Event | 15 |
| Civil Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
