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TR

Thomas M. Register

CORPORATE FINANCE SECURITIES
The Woodlands, TX 77380
CRD#: 5524914
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TR
Thomas Matthew RegisterCORPORATE FINANCE SECURITIES

Professional summary

Thomas Matthew Register is a registered financial professional currently at CORPORATE FINANCE SECURITIES, INC. located in The Woodlands, Texas.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Matthew Register's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 6, 2012 - Present

CORPORATE FINANCE SECURITIES, INC.

Office #1: 1790 Hughes Landing Blvd. Suite 400, The Woodlands, TX 77380
BD
CRD#: 143453
The Woodlands, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(7/6/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/5/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CORPORATE FINANCE SECURITIES, INC.
CORPORATE FINANCE SECURITIES, INC.

CRD#: 143453 / SEC#: , 8-67566

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
120 Vantis Drive Suite 300, Aliso Viejo, CA 92656
Mailing Address
120 Vantis Drive Suite 300, Aliso Viejo, CA 92656
Phone number
(949) 305-6710
Established
Delaware since 10/03/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ACADEMY ASSOCIATES LLCSHAREHOLDER
CENTAURUS PARTNERS, LLCSHAREHOLDER
CORPORATE FINANCE ASSOCIATES MINNESOTA, INC.SHAREHOLDER
CORPORATE FINANCE ASSOCIATES NEW ENGLAND, LLCSHAREHOLDER
CORPORATE FINANCE ASSOCIATES, INC. A TEXAS CORPORATIONSHAREHOLDER
CORPORATE FINANCE ASSOCIATES, LLCSHAREHOLDER
HEYDENRYCH FAMILY TRUSTSHAREHOLDER
POWELL, PATRICK SCOTTSHAREHOLDER5778669
AARKENSTONE QUEST, LLCSHAREHOLDER
HEYDENRYCH, HELENA JOANNAPRINCIPAL OPERATIONS OFFICER, TRUSTEE5305105
HEYDENRYCH, PETER MICHAELPRINCIPAL OPERATIONS OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, TRUSTEE5304971
SINYARD, DAVID BLAIRCCO, AMLCO5122340
ST. GERMAIN, ROBERT PAULCEO, CHAIRMAN5384187

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.

Company Information

CORPORATE FINANCE SECURITIES, INC.

CRD#: 143453The Woodlands, TX 77380

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