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Thomas W. Brubaker

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CRD#: 33416
TB

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 Wesley Brubaker was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1965. Thomas had worked at 4 firms and has passed the Series 63, Series 1 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 8, 1986 - October 16, 1990

MUTUAL SERVICE (EUROPE) LIMITED

BD
CRD#: 16458
Past

February 24, 1970 - August 1, 2000

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
NEWPORT BEACH, CA
Past

February 24, 1970 - December 2, 2004

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

March 22, 1965 - December 15, 1974

FIRST DETROIT SECURITIES CORP

BD
CRD#: 1000003

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/22/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 5/17/1961
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/11/1978
Registered Options Principal Examination

Current Firm

MS
MUTUAL SERVICE (EUROPE) LIMITED
MUTUAL SERVICE (EUROPE) LIMITED

CRD#: 16458 / SEC#: , 8-33048

BD
Terminated by FINRA on 10/16/1990
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Contact information

Main Address
Mailing Address
Phone number
Established
Firm type
Corporation
Fiscal year end
# of Employees

Documents

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

MUTUAL SERVICE (EUROPE) LIMITED

CRD#: 16458

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