Thomas E. Burns
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 Edward Burns III, who also goes by Thomas Edward Burns, Tom Burns III, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1968. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 4 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
May 10, 2004 - March 1, 2019
CROWN CAPITAL SECURITIES, L.P.
July 27, 1999 - March 1, 2019
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - July 22, 1999
MUTUAL SERVICE CORPORATION
August 22, 1985 - November 10, 1986
IDM SECURITIES CORPORATION
June 18, 1982 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
August 5, 1981 - June 10, 1982
FIRST WILSHIRE SECURITIES, INC.
January 24, 1974 - August 4, 1981
SUTRO & CO. INCORPORATED
May 24, 1968 - April 27, 1974
DUPONT WALSTON & CO 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: 5/22/1968
Registered Representative ExaminationSeries 40
Date: 12/20/1978
Registered Principal ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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