Thomas J. Rickmeyer
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 J Rickmeyer, who also goes by Thomas James Rickmeyer, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2009. Thomas had worked at 2 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2013 - November 19, 2013
DRW EXECUTION SERVICES, LLC
August 12, 2009 - December 11, 2012
DRW SECURITIES, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 7/18/2013
Limited Representative-Equity Trader ExamCurrent Firm
DRW EXECUTION SERVICES, LLC
CRD#: 164486 / SEC#: , 8-69104
Contact information
Documents
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.
