Thomas V. Engle
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 Victor Engle was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2019. Thomas had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2021 - April 21, 2022
SWBC INVESTMENT SERVICES, LLC
December 7, 2020 - April 21, 2022
SWBC INVESTMENT COMPANY
March 28, 2019 - December 3, 2020
PAX FINANCIAL GROUP
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 7TO
Date: 10/19/2021
General Securities Representative ExaminationCurrent Firm
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
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.
