Thomas A. Thorson
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 Albert Thorson, who also goes by Thomas A Thorson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 9 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
October 1, 2002 - November 18, 2002
NATIONAL SECURITIES CORPORATION
January 24, 2002 - October 1, 2002
LISS FINANCIAL SERVICES
February 7, 1999 - December 31, 2001
MUTUAL SERVICE CORPORATION
January 11, 1996 - December 31, 1998
VSR FINANCIAL SERVICES, INC.
November 24, 1987 - December 31, 1995
GENEVA SECURITIES,INC.
March 29, 1985 - November 20, 1987
THE MILWAUKEE COMPANY
February 24, 1982 - April 15, 1985
I.M. SIMON & CO., INC.
December 19, 1980 - March 10, 1982
MARQUETTE FINANCIAL GROUP, INC.
August 11, 1970 - January 19, 1981
B. C. ZIEGLER AND COMPANY
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: 5/17/1967
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
