Thomas A. Cheek
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.
Thomas Allen Cheek was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2010 - December 7, 2012
BROAD STREET CAPITAL MARKETS, LLC
October 9, 2006 - January 26, 2010
MSI FINANCIAL SERVICES, INC.
May 4, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 4, 2006 - January 26, 2010
MSI FINANCIAL SERVICES, INC.
June 29, 2004 - May 3, 2006
NEW ENGLAND SECURITIES
March 22, 2004 - May 3, 2006
NEW ENGLAND SECURITIES
May 27, 2003 - April 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
November 1, 2001 - April 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
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
Current Firm
BROAD STREET CAPITAL MARKETS, LLC
CRD#: 104026 / SEC#: , 8-52487
Contact information
FINRA licenses (13 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.
