Thomas L. Hipke
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 Lee Hipke was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2017. Thomas had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2018 - November 7, 2019
BANKERS LIFE ADVISORY SERVICES, INC.
December 12, 2018 - November 7, 2019
BANKERS LIFE SECURITIES, INC.
October 16, 2017 - September 10, 2018
EQUITABLE ADVISORS, LLC
October 16, 2017 - September 10, 2018
EQUITABLE ADVISORS, LLC
April 24, 2017 - July 26, 2017
FIRST ALLIED ADVISORY SERVICES, INC.
January 18, 2017 - July 26, 2017
FIRST ALLIED SECURITIES, INC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
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
Current Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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