Tomas R. Mcguffin
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.
Tomas Randall Mcguffin, who also goes by Thomas Randall Mcguffin Jr, Thomas Randall Mcguffin, was a registered financial professional .
Tomas is a previously registered financial professional and started their career in finance in 2011. Tomas had worked at 4 firms and has passed the Series 63, Series 65 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2012 - April 3, 2013
VORTEX ADVISORY SERVICES, LLC
July 27, 2012 - November 30, 2012
ADVANCED ASSET TRADING, INC
August 18, 2011 - April 25, 2012
ALLIED BEACON PARTNERS, INC.
June 15, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
VORTEX ADVISORY SERVICES, LLC
CRD#: 164634 / SEC#:
Contact information
Red Flags
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