Thomas M. Svalberg
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 Murray Svalberg, who also goes by Thomas Murry Svalberg, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 14 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
February 8, 1988 - June 30, 1989
FIRST EAGLE, INC.
April 3, 1986 - August 19, 1987
PACIFIC SOUTHERN SECURITIES, INC.
September 25, 1985 - January 27, 1986
CETERA ADVISORS LLC
April 2, 1984 - August 12, 1985
FIRST AFFILIATED SECURITIES, INC.
June 16, 1983 - March 27, 1984
FIRST FINANCIAL SECURITIES, INC.
December 8, 1982 - March 21, 1983
AMERICAN FRONTEER FINANCIAL CORPORATION
August 12, 1982 - December 6, 1982
GRAYSTONE NASH, INC.
April 13, 1982 - June 22, 1982
PAULSON INVESTMENT COMPANY LLC
July 14, 1978 - April 5, 1982
SECURITY TRADERS, INC.
May 28, 1978 - October 21, 1983
AMERICAN WESTERN SECURITIES, INC.
October 26, 1977 - May 28, 1978
AMERICAN WESTERN SECURITIES, INC.
February 19, 1976 - November 25, 1977
PITTMAN & COMPANY, INCORPORATED
December 10, 1974 - February 24, 1976
B. J. LEONARD AND COMPANY, INC.
September 18, 1972 - January 9, 1975
BARTON AND COMPANY 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: 9/13/1972
Registered Representative ExaminationSeries 40
Date: 8/11/1978
Registered Principal ExaminationCurrent Firm
FIRST EAGLE, INC.
CRD#: 16509 / SEC#: , 8-34079
Contact information
Documents
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.
