David W. 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.
David William Thomas, who also goes by Dave Thomas, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 15 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2002 - December 31, 2011
CHAUNER SECURITIES, INC.
May 22, 2000 - January 11, 2002
UNISON CAPITAL GROUP
May 14, 1996 - March 31, 2000
UNISON CAPITAL GROUP
November 10, 1995 - April 18, 1996
FINANCIAL WEST GROUP
August 5, 1994 - November 10, 1995
UNICORP FINANCIAL GROUP
January 19, 1993 - July 20, 1994
IFG NETWORK SECURITIES, INC.
June 28, 1989 - December 17, 1992
CROSSROADS SECURITIES, INC.
January 26, 1983 - July 5, 1989
PLANNED INVESTMENTS INC.
April 2, 1980 - December 3, 1982
THOMAS ASSOCIATES & CO.
March 11, 1980 - April 11, 1980
PLANNED INVESTMENTS INC.
March 10, 1978 - March 22, 1980
PERSHING LLC
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
December 2, 1977 - February 24, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
February 25, 1976 - December 9, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 3, 1974 - April 19, 1976
DAVE FRIES AND ASSOCIATES
February 28, 1973 - April 20, 1974
EMMETT A LARKIN COMPANY, INC.
December 11, 1970 - April 15, 1973
WHITE, WELD & CO. INCORPORATED
May 25, 1970 - January 7, 1971
EMMETT A LARKIN COMPANY, 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
Series 1
Date: 6/9/1959
Registered Representative ExaminationCurrent Firm
CHAUNER SECURITIES, INC.
CRD#: 10075 / SEC#: , 8-33980
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 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.
