Thomas A. Trutnau
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 Alan Trutnau was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 11 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
September 20, 2000 - April 30, 2001
J.P. TURNER & COMPANY, L.L.C.
January 3, 1995 - September 9, 1998
JOHN G. KINNARD AND COMPANY, INCORPORATED
June 17, 1994 - January 4, 1995
WESTONKA INVESTMENTS, INC.
May 9, 1990 - June 23, 1994
MILLER JOHNSON STEICHEN KINNARD, INC.
November 21, 1988 - May 11, 1990
HAYNE, MILLER FINANCIAL, INC.
January 13, 1988 - November 22, 1988
FUNDAMENTAL EQUITIES CORP.
September 2, 1976 - January 23, 1988
JOHN G. KINNARD AND COMPANY, INCORPORATED
June 12, 1975 - October 1, 1976
MIDWEST DISCOUNT SECURITIES, INC.
March 18, 1975 - July 26, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 2, 1974 - November 16, 1974
AMERICAN EXPRESS FINANCIAL CORPORATION
January 2, 1974 - November 16, 1974
AMERIPRISE FINANCIAL SERVICES, LLC
January 2, 1974 - November 16, 1974
IDS LIFE INSURANCE 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: 12/27/1973
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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