Rhodri J. 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.
Rhodri James Alban Thomas, who also goes by Rhodri James Thomas, was a registered financial professional .
Rhodri is a previously registered financial professional and started their career in finance in 1972. Rhodri had worked at 6 firms and has passed the Series 63, Series 3, 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
June 5, 1998 - April 8, 2014
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
August 16, 1994 - May 12, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
December 26, 1986 - July 22, 1994
BNP PARIBAS SECURITIES CORP.
June 18, 1985 - October 3, 1986
CHASE SECURITIES, INC.
August 4, 1981 - May 10, 1985
CREDIT SUISSE SECURITIES (USA) LLC
January 10, 1972 - July 15, 1981
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 1/6/1972
Registered Representative ExaminationSeries 8
Date: 3/23/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 11/28/1977
Registered Principal ExaminationCurrent Firm
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
CRD#: 39137 / SEC#: , 8-48552
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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