Thomas J. Warfield
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 Jackson Warfield JR, who also goes by T Jackson Warfield Jr, T Jackson Warfield, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1963. Thomas had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2007 - October 4, 2007
THE CONCORD EQUITY GROUP, LLC
April 20, 2005 - December 31, 2006
THE CONCORD EQUITY GROUP, LLC
April 15, 2005 - December 31, 2006
THE CONCORD EQUITY GROUP, LLC
August 7, 1998 - April 26, 2005
FIRST MONTAUK SECURITIES CORP.
July 7, 1993 - April 26, 2005
FIRST MONTAUK SECURITIES CORP.
September 4, 1990 - July 13, 1993
WELLS FARGO CLEARING SERVICES, LLC
March 28, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
December 15, 1983 - April 10, 1990
LEHMAN BROTHERS INC.
February 1, 1974 - November 11, 1983
FOSTER & MARSHALL INC.
August 29, 1973 - April 2, 1974
E. F. HUTTON & COMPANY INC
July 31, 1963 - November 15, 1973
DOMIK CORP.
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: 11/22/1959
Registered Representative ExaminationSeries 40
Date: 5/25/1976
Registered Principal ExaminationSeries 12
Date: 7/25/1972
NYSE Branch Manager ExaminationCurrent Firm
THE CONCORD EQUITY GROUP, LLC
CRD#: 14569 / SEC#: , 8-35226
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
| Bond | 1 |
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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