Thomas J. Nash
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 James Nash was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 5 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 1, Series 8, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2010 - September 18, 2013
THOMASPARTNERS, INC.
March 9, 2002 - October 16, 2002
RBC CAPITAL MARKETS, LLC
November 6, 1990 - March 9, 2002
TUCKER ANTHONY INCORPORATED
September 12, 1978 - October 31, 1990
UBS FINANCIAL SERVICES INC.
December 15, 1969 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS 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 15
Date: 3/16/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/19/1981
Interest Rate Options ExaminationSeries 1
Date: 12/10/1969
Registered Representative ExaminationSeries 8
Date: 11/17/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 5/13/1974
Registered Principal ExaminationSeries 12
Date: 4/7/1973
NYSE Branch Manager ExaminationCurrent Firm
THOMASPARTNERS, INC.
CRD#: 104966 / SEC#: 801-22189
Contact information
Red Flags
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