Tom P. Blix
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.
Tom Philip Blix, who also goes by Philip Kallerman, was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 2002. Tom had worked at 2 firms and has passed the Series 65 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
November 2, 2012 - November 17, 2016
INDUSTRY CAPITAL ADVISORS, LLC
August 11, 2005 - February 9, 2006
LEHMAN BROTHERS INC.
February 28, 2002 - January 21, 2004
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
INDUSTRY CAPITAL ADVISORS, LLC
CRD#: 162367 / SEC#: 801-74566
Contact information
Documents
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.
