Amelia L. Thomas
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.
Amelia Leigh Thomas was a registered financial professional .
Amelia is a previously registered financial professional and started their career in finance in 2007. Amelia had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2021 - December 31, 2025
EMPIRE CAPITAL VENTURES
August 27, 2020 - December 31, 2020
EMPIRE CAPITAL VENTURES
December 3, 2018 - December 31, 2019
EMPIRE CAPITAL VENTURES
October 26, 2017 - June 21, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 26, 2017 - June 21, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 5, 2014 - November 2, 2015
CUNA BROKERAGE SERVICES, INC.
August 5, 2014 - November 2, 2015
CUNA BROKERAGE SERVICES, INC.
May 16, 2013 - July 9, 2014
BBVA SECURITIES INC.
December 7, 2012 - July 9, 2014
PNC MANAGED ACCOUNT SOLUTIONS, INC.
December 3, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 11, 2011 - October 26, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 29, 2011 - October 26, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 2, 2010 - May 2, 2011
USAA FINANCIAL PLANNING SERVICES
February 2, 2010 - May 2, 2011
USAA FINANCIAL ADVISORS, INC.
March 30, 2009 - July 9, 2009
NEW ENGLAND SECURITIES
June 25, 2008 - July 9, 2009
NEW ENGLAND SECURITIES
October 24, 2007 - May 7, 2008
FIRST COMMAND BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
EMPIRE CAPITAL VENTURES
CRD#: 299014 / SEC#:
Contact information
Red Flags
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