Thomas Schweizer
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 Schweizer JR, who also goes by Thomas Schweizer, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 5 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 5, Series 41, Series 1, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2002 - October 10, 2003
BROWN ADVISORY SECURITIES, LLC
October 7, 2002 - January 4, 2022
BROWN ADVISORY SECURITIES, LLC
September 3, 2002 - January 4, 2022
BROWN ADVISORY SECURITIES, LLC
January 13, 2001 - March 12, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
April 16, 1970 - September 1, 1997
ALEX. BROWN & SONS 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 1/24/1983
Interest Rate Options ExaminationSeries 41
Date: 2/21/1981
NYSE Allied Member ExaminationSeries 1
Date: 4/8/1970
Registered Representative ExaminationCurrent firm
No current employment
Red Flags
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