Thomas A. Oliphant
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 Askew Oliphant, who also goes by Thomas A Oliphant, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1968. Thomas had worked at 8 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2008 - March 31, 2014
JHS CAPITAL ADVISORS, LLC
August 16, 2002 - December 23, 2008
EMPIRE FINANCIAL GROUP, INC.
July 29, 1997 - September 4, 2002
RUSHMORE SECURITIES CORPORATION
January 22, 1986 - July 31, 1997
A. G. EDWARDS & SONS, INC.
January 20, 1978 - May 1, 1978
LOEB PARTNERS
May 5, 1977 - January 20, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
February 1, 1977 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
July 8, 1975 - March 11, 1977
A. G. EDWARDS & SONS, INC.
November 27, 1973 - March 22, 1974
REYNOLDS SECURITIES, INC.
July 16, 1968 - May 19, 1973
A. G. EDWARDS & SONS, 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
Series 1
Date: 7/11/1968
Registered Representative ExaminationCurrent Firm
JHS CAPITAL ADVISORS, LLC
CRD#: 112097 / SEC#: 801-71238, 8-53232
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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