Thomas H. Rudy
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 H Rudy, who also goes by Thomas Rudy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 79 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 17, 2018 - December 31, 2018
FOUR POINTS CAPITAL PARTNERS LLC
April 2, 2015 - May 15, 2017
RAINMAKER SECURITIES, LLC
May 29, 2007 - July 3, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 3, 2008
CITIGROUP GLOBAL MARKETS INC.
December 19, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 22, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
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
FOUR POINTS CAPITAL PARTNERS LLC
CRD#: 43149 / SEC#: , 8-50162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
