Thomas J. Hale
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 J Hale, who also goes by Tom Hale, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 2 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
March 21, 2002 - December 31, 2017
FINANCIAL MANAGEMENT, INC.
March 20, 2002 - December 31, 2017
LPL FINANCIAL LLC
July 13, 2001 - December 31, 2017
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL MANAGEMENT, INC.
CRD#: 117578 / SEC#: 801-80360
Contact information
Red Flags
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