Thomas A. Rand
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 Allan Rand was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, 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
October 15, 2001 - December 31, 2014
KOVACK SECURITIES INC.
January 20, 1999 - October 17, 2001
VERAVEST INVESTMENTS, INC.
April 17, 1996 - January 22, 1999
NATCITY INSURANCE SERVICES, INC.
May 26, 1989 - January 11, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 26, 1989 - January 11, 1991
PRUCO SECURITIES, LLC.
April 5, 1989 - November 11, 1991
SIGMA FINANCIAL CORPORATION
August 7, 1986 - April 21, 1989
MONARCH SECURITIES, INC.
June 29, 1976 - February 12, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 13, 1974 - February 11, 1975
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
February 20, 1970 - April 7, 1974
SHEARSON, HAMMILL & 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 1
Date: 12/19/1966
Registered Representative ExaminationCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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