Thomas L. Smykal
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 L Smykal, who also goes by Thomas Lee Smykal, Thomas Smykel, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 4 firms and has passed the Series 63, Series 66, 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
November 6, 2015 - October 24, 2016
FIRST CITIZENS CAPITAL SECURITIES, LLC
August 23, 2012 - August 4, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2008 - October 16, 2009
NORTHERN TRUST SECURITIES, INC.
November 11, 2008 - October 16, 2009
NORTHERN TRUST SECURITIES, INC.
February 18, 2005 - March 27, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 15, 2004 - March 27, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST CITIZENS CAPITAL SECURITIES, LLC
CRD#: 41504 / SEC#: , 8-49466
Contact information
FINRA licenses (49 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
