Paul 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.
Paul Strand Thomas was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1973. Paul had worked at 13 firms and has passed the Series 63, Series 31, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - December 10, 2013
WFG INVESTMENTS, INC.
May 2, 2008 - June 14, 2012
HUCKIN FINANCIAL GROUP, INC.
December 22, 1989 - April 11, 2008
LPL FINANCIAL LLC
December 22, 1989 - April 11, 2008
LPL FINANCIAL LLC
December 14, 1989 - January 2, 1990
HUCKIN FINANCIAL GROUP, INC.
March 7, 1988 - September 21, 1989
THE HOUSE OF SECURITIES COMPANY
February 4, 1988 - March 2, 1988
COORDINATED CAPITAL SECURITIES, INC.
July 3, 1986 - December 31, 1987
CONSECO FINANCIAL SERVICES, INC.
June 19, 1983 - February 25, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 6, 1983 - February 5, 1988
IRG SECURITIES, INC.
October 2, 1981 - November 23, 1982
IRG SECURITIES, INC.
November 26, 1980 - January 18, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 15, 1980 - February 20, 1988
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
November 2, 1979 - December 8, 1981
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 23, 1979 - March 8, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
October 16, 1973 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
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: 10/12/1973
Registered Representative ExaminationCurrent Firm
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
