Thomas P. Collins
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 Patrick Collins was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 7 firms and has passed the Series 66, Series 63, 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
January 25, 2012 - April 4, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 29, 2011 - March 6, 2012
AVANTAX PLANNING PARTNERS, INC.
March 2, 2009 - May 3, 2011
EQUITABLE ADVISORS, LLC
February 19, 2009 - May 3, 2011
EQUITABLE ADVISORS, LLC
February 19, 2008 - June 16, 2008
CETERA INVESTMENT SERVICES LLC
February 19, 2008 - June 16, 2008
CETERA INVESTMENT SERVICES LLC
September 22, 2006 - February 26, 2008
IFMG SECURITIES, INC.
September 20, 2006 - September 20, 2006
IFMG SECURITIES, INC.
September 20, 2006 - February 26, 2008
IFMG SECURITIES, INC.
November 10, 2003 - June 19, 2006
CUNA BROKERAGE SERVICES, INC.
November 27, 2002 - June 19, 2006
CUNA BROKERAGE SERVICES, INC.
March 23, 2000 - April 23, 2002
FILBRANDT INVESTMENT ADVISERS INCORPORATED
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
