J S. 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.
J Speed Thomas, who also goes by John Speed Thomas, was a registered financial professional .
J is a previously registered financial professional and started their career in finance in 1969. J had worked at 4 firms and has passed the Series 65, Series 63, Series 5, Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
October 31, 1977 - December 22, 2000
MORGAN STANLEY DW INC.
May 5, 1977 - December 18, 1977
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
July 16, 1969 - May 5, 1977
SPENCER TRASK & CO. INCORPORATED
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 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 4/24/1968
Registered Representative ExaminationSeries 8
Date: 2/26/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 2/26/1974
Registered Principal ExaminationCurrent firm
No current employment
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.
