Thomas Coleman
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 Coleman, who also goes by Thomas E Coleman, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 7 firms and has passed the 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
March 26, 2020 - April 20, 2026
STONECREST CAPITAL MARKETS, INC.
November 6, 2017 - November 6, 2018
BAY CREST PARTNERS, LLC
December 5, 2016 - November 6, 2017
STORMHARBOUR SECURITIES LP
April 4, 2016 - December 8, 2016
MOSAIC CAPITAL, LLC
November 1, 2010 - May 3, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 2010 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
September 28, 2006 - June 5, 2008
J.P. MORGAN SECURITIES 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
Current Firm
STONECREST CAPITAL MARKETS, INC.
CRD#: 39616 / SEC#: , 8-48754
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 5 |
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.
