Thomas R. Chell
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 Ross Chell, who also goes by Tom Chell, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1966. Thomas had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2008 - May 31, 2012
IMS SECURITIES, INC.
June 25, 2008 - December 11, 2008
EPLANNING SECURITIES, INC.
January 16, 2004 - June 24, 2008
WAVELAND CAPITAL PARTNERS LLC
November 16, 1998 - December 31, 2003
SENTRA SECURITIES CORPORATION
September 19, 1994 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
October 14, 1975 - March 4, 1986
TOWER SQUARE SECURITIES, INC.
October 5, 1972 - October 8, 1994
DIVERSIFIED SECURITIES, INCORPORATED
March 2, 1966 - November 20, 1972
CALIFORNIA INVESTORS 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
Series 1
Date: 2/28/1966
Registered Representative ExaminationCurrent Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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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