Thomas J. Scharf
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 Joseph Scharf was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
June 17, 2014 - November 8, 2016
FORTUNE FINANCIAL SERVICES, INC.
October 2, 2012 - February 20, 2020
INTEGRATED FINANCIAL STRATEGIES, LLC
September 14, 2012 - May 20, 2014
CAPITAL GUARDIAN, LLC
August 27, 2010 - September 27, 2012
LPL FINANCIAL LLC
August 27, 2010 - September 27, 2012
LPL FINANCIAL LLC
August 25, 2005 - August 30, 2010
FIRST CITIZENS INVESTOR SERVICES, INC.
June 17, 2005 - August 30, 2010
FIRST CITIZENS INVESTOR SERVICES, INC.
January 10, 2003 - June 22, 2005
LPL FINANCIAL LLC
July 16, 2001 - December 10, 2002
LEIGH BALDWIN & CO., LLC
July 15, 1999 - July 20, 2001
MORGAN STANLEY DW 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
Current Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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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