Thomas W. Reeves
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 Wyatt Reeves was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2006 - January 15, 2008
CAPITAL GROWTH FINANCIAL, LLC
July 27, 2006 - August 4, 2006
CAPITAL GROWTH FINANCIAL, LLC
September 27, 2004 - April 12, 2005
CHICAGO INVESTMENT GROUP, LLC
January 2, 2004 - June 23, 2004
LADENBURG THALMANN & CO. INC.
July 9, 2002 - December 17, 2003
JANNEY MONTGOMERY SCOTT LLC
April 2, 2002 - June 18, 2002
GMS GROUP
October 22, 2001 - April 15, 2002
CONTINENTAL BROKER-DEALER 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
Exams
Current Firm
CAPITAL GROWTH FINANCIAL, LLC
CRD#: 41040 / SEC#: , 8-49268
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 8 |
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.
