Thomas K. Metz
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 Karl Metz was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1967. Thomas had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2003 - December 16, 2003
LEWES PARTNERS LLC
December 5, 1994 - December 1, 2020
METZ CAPITAL MANAGEMENT LLC
December 23, 1991 - August 18, 1994
MORGAN STANLEY DW INC.
April 11, 1988 - January 9, 1992
LEHMAN BROTHERS INC.
September 10, 1979 - April 11, 1988
E. F. HUTTON & COMPANY INC
June 2, 1975 - August 29, 1979
FERRIS, BAKER WATTS, LLC
October 6, 1967 - March 13, 1975
JOHNSTON, LEMON & CO. INCORPORATED
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 5
Date: 9/25/1981
Interest Rate Options ExaminationSeries 000
Date: 6/18/1973
General Securities Principal ExaminationSeries 1
Date: 10/4/1967
Registered Representative ExaminationSeries 40
Date: 11/8/1977
Registered Principal ExaminationCurrent firm
No current employment
Red Flags
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