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SA

Shamone M. Allen-stephenson

THOMAS CAPITAL GROUP
Gig Harbor, WA 98335
Some features on this profile are disabled
CRD#: 3269257
SA

Professional summary


Shamone Maxine Allen-stephenson, who also goes by Shamone Maxine Allen, is a registered financial professional currently at THOMAS CAPITAL GROUP, INC. located in Gig Harbor, Washington.

Shamone is registered as a RR (Registered Representative) and started their career in finance in 2012. Shamone has worked at 1 firm and has passed the Series 63, SIE and Series 82 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Shamone Maxine Allen

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Shamone Maxine Allen-stephenson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

August 1, 2012 - Present

THOMAS CAPITAL GROUP, INC.

Office #1: 3312 Rosedale St Nw Suite 203b, Gig Harbor, WA 98335Office #2: 1915 49th St Ct Nw, Gig Harbor, WA 98335
BD
CRD#: 45180
Gig Harbor, WA

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(3/19/2013)
RR
California
(3/19/2013)
RR
Connecticut
(3/19/2013)
RR
Florida
(3/19/2013)
RR
Indiana
(9/19/2017)
RR
Nebraska
(3/19/2013)
RR
New York
(3/19/2013)
RR
Ohio
(3/19/2013)
RR
Pennsylvania
(6/20/2017)
RR
Virginia
(3/19/2013)
RR
Washington
(11/14/2012)

Exams


State Security Law Exam
RR
Series 63
Date: 11/13/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


TC
THOMAS CAPITAL GROUP, INC.
S.S. THOMAS & ASSOCIATES, LLC | THOMAS CAPITAL GROUP, L.L.C. | THOMAS CAPITAL GROUP, INC.

CRD#: 45180 / SEC#: , 8-50986

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information


Main Address
1915 49th St Ct Nw, Gig Harbor, WA 98335
Mailing Address
1915 49th St Ct Nw, Gig Harbor, WA 98335
Phone number
(253) 777-4477
Established
Washington since 01/02/2008
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)


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Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
THOMAS, SAJAN KARINGATILPRESIDENT & CEO2659883
THOMAS, SHEELA CHERIANSHAREHOLDER3049259
MYOTT, STEPHEN JAMESMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, FINOP1143701
ALLEN, SHAMONE MAXINEDIRECTOR3269257
LEVINE, JEFFREY PAULMANAGING DIRECTOR4299528

Red Flags


Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


THOMAS CAPITAL GROUP, INC.

CRD#: 45180Gig Harbor, WA 98335

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