Scott Joseph Thomas
Professional Summary
Scott Joseph Thomas is a registered financial advisor currently at TRIPLE P SECURITIES, LLC located in Dallas, Texas. Scott is registered as a RR (Registered Representative) and started their career in finance in 2016. Scott has worked at 2 firms and has passed the Series 63, SIE, Series 62 and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
PORTAGE POINT | TRIPLE P SECURITIES, LLC | PORTAGE POINT PARTNERS
Contact Information
Main Address
640 Fifth Avenue 10th Floor, New York, NY 10019Mailing Address
300 N La Salle St. Ste. 1420, Chicago, IL 60654Phone Number
(312) 781-7520Established
Delaware since 08/31/2022Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(5/23/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Nov 2016Series 79 — Investment Banking Registered Representative Examination
Passed Mar 2016About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Scott Joseph Thomas's CRS (Customer Relationship Summary).
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