Tony Blum
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.
Tony Blum was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1999. Tony had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 6 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
March 7, 2013 - June 26, 2014
L.O. THOMAS & CO. INC.
January 12, 2009 - January 22, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 21, 2006 - October 21, 2013
FOOTE FINANCIAL, INC.
February 20, 2003 - January 12, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 20, 2001 - January 22, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 20, 2000 - July 19, 2001
THE ADVISORS GROUP, INC.
September 8, 1999 - June 2, 2000
NYLIFE SECURITIES LLC
June 21, 1999 - August 19, 1999
PRUCO SECURITIES, 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
L.O. THOMAS & CO. INC.
CRD#: 23657 / SEC#: , 8-40875
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
Disclosures
| Regulatory Event | 1 |
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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