Thomas B. Ryan
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 Breen Ryan was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 5 firms and has passed the Series 63, SIE 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
February 18, 2015 - December 31, 2021
APW CAPITAL, INC.
January 28, 2008 - September 29, 2023
KISTLER-TIFFANY ADVISORS
January 2, 2008 - May 24, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 1, 1974 - December 31, 2007
CINCINNATI ANALYSTS, INC.
August 20, 1971 - February 1, 1974
FML FUNDS DISTRIBUTION COMPANY
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: 8/16/1971
Registered Representative ExaminationCurrent Firm
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
