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Thomas K. Boothe

Some features on this profile are disabled
CRD#: 5830545
TB

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 Kim Boothe was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2010. Thomas had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 13, 2022 - February 22, 2022

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
BOCA RATON, FL
Past

June 19, 2019 - September 19, 2019

NAVIAN CAPITAL SECURITIES LLC

BD
CRD#: 145037
CINCINNATI, OH
Past

April 1, 2019 - September 11, 2020

ICAPITAL MARKETS LLC

BD
CRD#: 118219
Delray Beach, FL
Past

April 18, 2018 - April 1, 2019

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL
Past

December 7, 2015 - April 17, 2018

MORGAN STANLEY

RIA
CRD#: 149777
BOCA RATON, FL
Past

November 9, 2015 - April 17, 2018

MORGAN STANLEY

BD
CRD#: 149777
BOCA RATON, FL
Past

September 3, 2015 - October 12, 2015

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
BOCA RATON, FL
Past

December 4, 2014 - September 2, 2015

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
Delray Beach, FL
Past

July 25, 2014 - December 10, 2014

IAA FINANCIAL LLC

BD
CRD#: 6578
Delray Beach, FL
Past

November 4, 2010 - January 18, 2013

IAA FINANCIAL LLC

BD
CRD#: 6578
WEST PALM BEACH, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/3/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/24/2010
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 7
Date: 11/3/2010
General Securities Representative Examination

Current Firm

NC
NOBLE CAPITAL MARKETS, INC.
NOBLE CAPITAL MANAGEMENT INC | NOBLE LIFE SCIENCE PARTNERS | NOBLE INTERNATIONAL INVESTMENTS, INC. | NOBLE FINANCIAL CAPITAL MARKETS | NOBLE CAPITAL MARKETS, INC.

CRD#: 15768 / SEC#: , 8-32706

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

Main Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432
Mailing Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432
Phone number
(561) 994-1191
Established
Florida since 09/21/1984
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NOBLE FINANCIAL GROUP, INC.SHAREHOLDER
LEAN, DAVID JONATHANCCO3114377
PRONK, NICOLAAS PETRUSOWNER, CEO, CFO1726101

Disclosures

Regulatory Event9
Arbitration11

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

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768

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