Thomas H. Richards
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 Harry Richards III, who also goes by Thomas Harry Richards, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 3 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 1983 - February 13, 1989
TRANSINTERNATIONAL SECURITIES
August 1, 1972 - November 13, 1984
INTERCAL SECURITIES CO.
September 29, 1971 - April 26, 1973
WILLIAM M. MCNABB CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 7/14/1966
Registered Representative ExaminationSeries 00
Date: 7/27/1972
General Securities Principal ExaminationCurrent Firm
TRANSINTERNATIONAL SECURITIES
CRD#: 14179 / SEC#: , 8-30357
Contact information
Documents
Red Flags
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