Thomas M. Zeller
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 Mark Zeller, who also goes by Tom Mark Zeller, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 6 firms and has passed the Series 66, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2017 - December 31, 2020
COLONY PARK FINANCIAL SERVICES LLC.
June 13, 2017 - May 22, 2020
SANDLAPPER SECURITIES, LLC
September 2, 2014 - June 29, 2015
IMS SECURITIES, INC.
July 9, 2012 - September 2, 2014
BFC PLANNING, INC.
June 22, 2012 - September 2, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 19, 2009 - July 25, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
October 4, 2006 - July 25, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/21/2022
General Securities Representative ExaminationSeries 79TO
Date: 12/21/2022
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 12/21/2022
Operations Professional ExaminationSeries 28
Date: 12/21/2022
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
COLONY PARK FINANCIAL SERVICES LLC.
CRD#: 41534 / SEC#: 801-79219, 8-49478
Contact information
Red Flags
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