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Thor Booker

Some features on this profile are disabled
CRD#: 4813272
TB

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.

Thor Booker, who also goes by Thor Webster-booker, was a registered financial professional .

Thor is a previously registered financial professional and started their career in finance in 2004. Thor had worked at 7 firms and has passed the Series 66, Series 63, Series 82TO, SIE, Series 7, Series 87 and Series 86 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thor Webster-Booker

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

October 18, 2021 - December 23, 2024

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

September 17, 2018 - October 21, 2019

QUOIN CAPITAL LLC

BD
CRD#: 136160
WAYNE, PA
Past

June 23, 2016 - October 3, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Philadelphia, PA
Past

June 22, 2016 - October 3, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Philadelphia, PA
Past

April 8, 2013 - November 26, 2014

MORGAN STANLEY

BD
CRD#: 149777
BRYN MAWR, PA
Past

April 2, 2013 - November 26, 2014

MORGAN STANLEY

RIA
CRD#: 149777
BRYN MAWR, PA
Past

June 14, 2011 - January 26, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
BETHESDA, MD
Past

June 14, 2011 - January 26, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
BETHESDA, MD
Past

June 9, 2010 - June 9, 2011

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

January 4, 2010 - January 8, 2010

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
PHILADELPHIA, PA
Past

October 6, 2009 - January 8, 2010

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
PHILADELPHIA, PA
Past

July 13, 2004 - January 11, 2007

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
PHILADELPHIA, PA

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
IAR
Series 66
Date: 8/13/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/27/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/5/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 5/10/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 2/17/2006
Research Analyst Exam - Part I Analysis Module

Current Firm

W&
WEILD & CO.
CMA PARTNERS, LLC | WEILD CAPITAL, LLC | WEILD & CO., LLC | WEILD & CO. | THE NATIONAL RESEARCH STANDARD, INC. | THE NATIONAL RESEARCH STANDARD | THE NATIONAL RESEARCH EXCHANGE | ISSUWORKS CAPITAL, LLC

CRD#: 132398 / SEC#: , 8-66593

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

Main Address
777 29th Street Suite 402, Boulder, CO 80303
Mailing Address
777 29th Street Suite 402, Boulder, CO 80303
Phone number
(303) 223-9621
Established
New York since 10/22/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEILD & CO., INC.SOLE MEMBER
ONESTO, RICHARD ERNESTFINOP2453096
WEILD, DAVID IVMEMBER, CHAIRMAN AND CEO1336395
WEILD, DAVID IVCHIEF COMPLIANCE OFFICER, AML PRINCIPAL1336395

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

WEILD & CO.

CRD#: 132398

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