Theodore T. Thull
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.
Theodore Thomas Thull was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1966. Theodore had worked at 2 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2002 - January 26, 2012
SMITH HAYES FINANCIAL SERVICES CORPORATION
March 25, 1966 - June 3, 2002
KFS BD, 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 1
Date: 6/25/1963
Registered Representative ExaminationSeries 00
Date: 11/26/1975
General Securities Principal ExaminationCurrent Firm
SMITH HAYES FINANCIAL SERVICES CORPORATION
CRD#: 17059 / SEC#: , 8-34980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITH HAYES COMPANIES D/B/A SMITH HAYES | PARENT COMPANY | |
| DAVIS, COLLEEN TERESE | VICE PRESIDENT, OPERATIONS | 1274284 |
| DECKER, JOHN LOUIS JR | PRESIDENT, CEO | 2812644 |
| DEWHURST, KATHLEEN ANN | VICE PRESIDENT, HR | 1245164 |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER | 1255071 |
| KERR, JAMES PATRICK | DIRECTOR | 824040 |
| MANN, BRANDON MICHAEL | VICE PRESIDENT OF SALES | 4488207 |
| NELSON, THOMAS STEVEN | DIRECTOR | 1108782 |
| PURPURA, MICHAEL JOSEPH | DIRECTOR | 2095576 |
| SCHAEFER, BOBBY JOHN | CFO / SECRETARY / TREASURER | 5569260 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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