David D. Thomas
Professional summary
David D Thomas, who also goes by David D. Thomas, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 4 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David D Thomas's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 17, 2015 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901March 7, 2014 - November 19, 2015
OSAIC SERVICES, INC.
June 13, 2007 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
March 6, 2001 - April 8, 2004
LIFEMARK SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/17/2022)
(11/17/2015)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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