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TH

Thomas A. Houdek

Some features on this profile are disabled
CRD#: 4667479
TH

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 Allen Houdek was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 9, 2014 - February 7, 2014

THIRD500, LLC

BD
CRD#: 115542
WILMETTE, IL
Past

May 18, 2007 - June 18, 2012

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
CHICAGO, IL
Past

October 4, 2006 - May 7, 2007

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/2006
General Securities Representative Examination

Current Firm

TL
THIRD500, LLC
HEALTHIOS CAPITAL MARKETS, LLC | VECTOR SECURITIES INTERNATIONAL, L.L.C. | THIRD500, LLC

CRD#: 115542 / SEC#: , 8-53489

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1150 Wilmette Avenue, Wilmette, IL 60091
Mailing Address
1150 Wilmette Avenue, Wilmette, IL 60091
Phone number
(847) 400-5001
Established
Delaware since 07/27/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THIRD500 HOLDING PTE LTDHOLDING COMPANY
GIBSON, BRIAN DEANCONTROLLER / FINOP5904321
LOUCKS, DAVID BURTONCEO, CHAIRMAN2593163
REICHENBACH, FREDERICKCHIEF COMPLIANCE OFFICER5844798
REICHENBACH, FREDERICKMANAGING DIRECTOR5844798

Disclosures

Regulatory Event2

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.

Company Information

THIRD500, LLC

CRD#: 115542

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