David M. Thomas
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.
David Mitchell Thomas was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2009. David had worked at 5 firms and has passed the Series 7TO, Series 99TO, 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
May 2, 2024 - February 7, 2025
PHILLIP CAPITAL INC.
September 27, 2019 - February 1, 2021
FLOURISH FINANCIAL LLC
August 19, 2013 - November 11, 2015
VIRTU AMERICAS LLC
July 28, 2009 - June 11, 2014
GETCO EXECUTION SERVICES LLC
June 23, 2009 - June 11, 2014
OCTEG, LLC
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 7TO
Date: 5/2/2024
General Securities Representative ExaminationSeries 99TO
Date: 9/27/2019
Operations Professional ExaminationCurrent Firm
PHILLIP CAPITAL INC.
CRD#: 173869 / SEC#: , 8-69558
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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