Thomas C. Tuites
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 C Tuites was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2010. Thomas had worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2013 - February 25, 2019
CAPITAL ONE ADVISORS, LLC
November 10, 2010 - February 25, 2019
CAPITAL ONE INVESTING, LLC
State Registrations and Notice Filings
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Exams
Series 11
Date: 11/8/2010
Assistant Representative-Order Processing Qualification ExamCurrent Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
