Thomas M. Strand
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 Michael Strand, who also goes by Tom Strand, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 5 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2001 - August 31, 2004
CAPITALQUEST SECURITIES, INC.
September 30, 1997 - May 13, 1999
COLLIERS SECURITIES LLC
September 29, 1989 - December 31, 1990
ALLIED GROUP SECURITIES CORPORATION
August 1, 1977 - September 30, 1997
DOUGHERTY DAWKINS LLC
April 10, 1974 - July 17, 1977
DAIN, KALMAN & QUAIL, 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 1
Date: 4/4/1974
Registered Representative ExaminationSeries 40
Date: 4/17/1975
Registered Principal ExaminationCurrent Firm
CAPITALQUEST SECURITIES, INC.
CRD#: 7699 / SEC#: , 8-22911
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
