Thomas B. Main
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 Bartholomew Main, who also goes by Thomas B Main, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2011 - August 11, 2014
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
October 25, 2007 - April 16, 2010
PERSHING ADVISOR SOLUTIONS LLC
April 25, 2006 - October 1, 2007
EQUITABLE ADVISORS, LLC
January 22, 2001 - March 30, 2006
TD AMERITRADE, INC.
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
Current Firm
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
CRD#: 104369 / SEC#: , 8-52843
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 42 |
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.
