Christina L. Thomas
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.
Christina Lynn Thomas was a registered financial professional .
Christina is a previously registered financial professional and started their career in finance in 2011. Christina had worked at 3 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2021 - May 16, 2023
RKCA, INC.
October 13, 2011 - February 29, 2016
BMO CAPITAL MARKETS CORP.
February 8, 2011 - September 22, 2011
CHAFFE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 82TO
Date: 2/28/2022
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 12/9/2021
Investment Banking Registered Representative ExaminationCurrent Firm
RKCA, INC.
CRD#: 17655 / SEC#: , 8-35572
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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