Thomas P. Riggs
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 Pendleton Riggs was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 8 firms and has passed the Series 65, Series 63, 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
January 19, 2007 - January 13, 2017
CORNERSTONE ADVISORS INC
November 3, 1988 - April 6, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 17, 1986 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
July 11, 1984 - January 14, 1987
PLANVEST CAPITAL CORPORATION
March 19, 1984 - July 20, 1984
FSC SECURITIES CORPORATION
May 10, 1973 - March 26, 1984
EQUITEC SECURITIES COMPANY
March 5, 1973 - June 17, 1973
SPECTRUM FINANCIAL GROUP, INC.
February 21, 1973 - April 3, 1973
CAPITAL SECURITIES CO
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: 2/15/1973
Registered Representative ExaminationSeries 00
Date: 7/19/1973
General Securities Principal ExaminationCurrent Firm
CORNERSTONE ADVISORS INC
CRD#: 110908 / SEC#: 801-20509
Contact information
Red Flags
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