Thomas N. Gearhart
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 Nelson Gearhart III 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 63, Series 66, Series 65, SIE, Series 7, Series 31, Series 24 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2015 - May 5, 2022
BMO CAPITAL MARKETS CORP.
October 1, 2009 - January 24, 2011
WELLS FARGO SECURITIES, LLC
July 19, 2004 - September 18, 2006
WELLS FARGO INVESTMENTS, LLC
April 29, 2004 - September 18, 2006
WELLS FARGO INVESTMENTS, LLC
July 15, 2003 - July 25, 2003
WELLS FARGO INVESTMENTS, LLC
February 14, 2002 - June 20, 2002
AMERIPRISE ADVISOR SERVICES, INC.
December 13, 2000 - February 8, 2002
WELLS FARGO INVESTMENTS, LLC
April 3, 2000 - May 7, 2001
WELLS FARGO SECURITIES INC.
March 30, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 13, 1999 - February 14, 2000
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
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil 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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