Scott E. 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.
Scott Eldridge Thomas MR, who also goes by Scott Eldridge Thomas, was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 1973. Scott had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 5, Series 1, Series 4 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
November 27, 2006 - November 8, 2011
FIRST CAPITAL MANAGEMENT, L.L.C.
April 7, 1992 - January 29, 1997
S. C. COSTA COMPANY, INC.
February 4, 1985 - November 30, 1987
PATTERSON ICENOGLE, INC.
May 16, 1984 - May 16, 1985
HOUCHIN, ADAMSON & CO., INC.
September 27, 1979 - May 11, 1984
S. C. COSTA COMPANY, INC.
November 1, 1973 - February 25, 1979
CITIGROUP GLOBAL MARKETS 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 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 10/26/1973
Registered Representative ExaminationCurrent Firm
FIRST CAPITAL MANAGEMENT, L.L.C.
CRD#: 118087 / SEC#:
Contact information
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.
