Colleen A. 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.
Colleen Armstrong Thomas, who also goes by Colleen Marie Armstrong, Colleen A Thomas, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 2004. Colleen had worked at 3 firms and has passed the Series 63 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
December 18, 2012 - April 19, 2013
WESTOR CAPITAL GROUP, INC.
May 13, 2010 - June 7, 2011
OSAIC WEALTH, INC.
May 9, 2005 - May 17, 2010
WESTOR CAPITAL GROUP, INC.
January 27, 2004 - May 20, 2005
NYLIFE SECURITIES LLC
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
WESTOR CAPITAL GROUP, INC.
CRD#: 103823 / SEC#: , 8-52311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOHAWK MANAGEMENT CORP | SHARHOLDER | |
| EVERCORE CAPITAL ADVISORS LLC | SHAREHOLDER | |
| BACH, RICHARD HANS | PRESIDENT / CHIEF COMPLIANCE OFFICER / FINOP | 1011097 |
Disclosures
| Regulatory Event | 18 |
| Financial | 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.
