Thomas D. Owen
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 Dixie Owen JR, who also goes by Tom Owen, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1975. Thomas had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 1996 - November 18, 1997
PARAGON CAPITAL MARKETS, INC.
March 21, 1996 - October 2, 1996
GUARDIAN INVESTOR SERVICES LLC
June 28, 1991 - June 6, 1994
CARTY, HARDING & HEARN, INC.
March 3, 1983 - January 30, 1991
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
September 3, 1980 - January 30, 1991
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
April 13, 1978 - May 15, 1980
BULLINGTON-SCHAS & CO., INC.
December 21, 1977 - April 3, 1978
POWELL & ASSOCIATES, INC. INC.
January 7, 1977 - January 7, 1978
F. L. LAWRENCE & COMPANY, INC.
September 29, 1976 - January 31, 1977
F. D. BENTON & ASSOCIATES, INC.
December 1, 1975 - May 17, 1976
BULLINGTON-SCHAS & CO., INC.
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
PARAGON CAPITAL MARKETS, INC.
CRD#: 18555 / SEC#: , 8-36765
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 10 |
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.
