Sha-nel Toms
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.
Sha-nel Toms, who also goes by Nel Toms, was a registered financial professional .
Sha-nel is a previously registered financial professional and started their career in finance in 2004. Sha-nel had worked at 9 firms and has passed the Series 66, Series 63, 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
January 28, 2015 - February 5, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - February 5, 2015
CAPITAL ONE INVESTING, LLC
March 18, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
March 13, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
May 30, 2012 - March 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2012 - March 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2004 - April 1, 2005
NATIONAL SECURITIES CORPORATION
June 23, 2004 - August 12, 2004
S.W. BACH & COMPANY
April 27, 2004 - April 30, 2004
IDS LIFE INSURANCE COMPANY
April 27, 2004 - April 30, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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