Thomas S. Amacker

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CRD#: 4212

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 Stirling Amacker was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 5 firms and has passed the Series 65, Series 63, SIE, PC, Series 000 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 7, 2013 - October 31, 2018

BRAZOS SECURITIES, INC.

RIA

CRD#: 21624

DALLAS, TX

Past

February 22, 2001 - October 31, 2018

BRAZOS SECURITIES, INC.

CRD#: 21624

DALLAS, TX

Past

August 19, 1981 - March 7, 2001

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

June 22, 1979 - September 2, 1981

MORGAN STANLEY DW INC.

CRD#: 7556

Past

April 16, 1974 - July 21, 1979

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

September 4, 1969 - April 7, 1974

EPPLER GUERIN & TURNER

CRD#: 1000001

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 11/21/1966

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 11/21/1966

Registered Representative Examination

Current Firm

BRAZOS SECURITIES, INC.

BRAZOS SECURITIES, INC. | SOUTHERN VENTURES EQUITIES, INC.

CRD#: 21624 / SEC#: , 8-39119

Terminated by SEC on 12/10/2019

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Contact information

Main Address

14800 Quorum Drive Suite 410, Dallas, TX 75254

Mailing Address

Phone number

Established

Texas since 10/22/1987

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SIMS, BILLY FLOYD JR	PRESIDENT, SECRETARY ,SOLE SHAREHOLDER, FINOP, CCO AND GENERAL SECURITIES PRINCIPAL	1548924

Disclosures

Regulatory Event

Red Flags

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