Thomas K. Pickett
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 Keith Pickett was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2002. Thomas had worked at 2 firms and has passed the Series 66, Series 79TO, SIE 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
February 11, 2003 - May 2, 2019
WESTERN RESEARCH AND MANAGEMENT, L.L.C.
November 19, 2002 - February 18, 2025
WESTERN STRATEGIC ASSETS, L.L.C.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
WESTERN RESEARCH AND MANAGEMENT, L.L.C.
CRD#: 109509 / SEC#: 802-116810
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 5/17/2019 |
| Texas | ERA - Active | 3/24/2025 |
Red Flags
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