Colin R. Thomas
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.
Colin R Thomas, CFP®, who also goes by Colin Richard Thomas, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 2001. Colin had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2019 - September 25, 2019
THE LEADERS GROUP, INC.
October 17, 2017 - November 19, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 13, 2017 - November 19, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 29, 2015 - September 5, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 1, 2013 - September 5, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 5, 2002 - August 12, 2002
MSI FINANCIAL SERVICES, INC.
March 11, 2002 - August 12, 2002
METROPOLITAN LIFE INSURANCE COMPANY
March 11, 2002 - August 12, 2002
MSI FINANCIAL SERVICES, INC.
July 13, 2001 - February 14, 2002
FORESTERS FINANCIAL SERVICES, 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
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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