Thomas E. Beer
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 Beer was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 2 firms and has passed the Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2001 - November 4, 2002
MAY FINANCIAL CORPORATION
June 15, 2000 - November 2, 2000
TAFFERER TRADING, LLC
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 55
Date: 5/9/2000
Limited Representative-Equity Trader ExamCurrent Firm
MAY FINANCIAL CORPORATION
CRD#: 3927 / SEC#: , 8-14093
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWS GROUP, INC. | PARENT | |
| BENNERS, FREDERICK HAGAMAN JR | CEO & PRESIDENT | 2213846 |
| HODGES, STACY MALINDA | VICE PRESIDENT/TREASURER/ CFO | 2544755 |
| KNOWLES, PHYLLIS JEAN | DIRECTOR OF COMPLIANCE | 1275616 |
| SYLVESTER, GORDON ANTHONY | SROP/CROP | 2638444 |
| TUBB, ALLEN R | SECRETARY | |
| WADE, JEROME STEPHEN | VICE PRESIDENT/ GENERAL COUNSEL | 809998 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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