Barry E. Thors
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.
Barry Earnest Thors, who also goes by Barry Ernest Thors, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1970. Barry had worked at 6 firms and has passed the Series 63, 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
February 27, 2014 - June 25, 2014
ALLEN C. EWING & CO.
August 20, 1991 - December 31, 2013
ALLEN C. EWING & CO.
May 10, 1989 - December 31, 1990
JJC SECURITIES CO., INC.
January 12, 1978 - April 17, 1989
JESUP & LAMONT SECURITIES CO., INC.
June 27, 1973 - December 30, 1977
DOMIK CORP.
February 1, 1973 - October 26, 1973
LOMBARD, NELSON & MCKENNA, INC
December 1, 1970 - December 1, 1972
DICKINSON & CO.
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: 1/29/1959
Registered Representative ExaminationCurrent Firm
ALLEN C. EWING & CO.
CRD#: 26102 / SEC#: , 8-42393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPHA STREET HOLDINGS LLC | HOLDING COMPANY | |
| JACKSON, DAVID WHITNEY JR | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1213535 |
Disclosures
| Regulatory Event | 10 |
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.
