Thomas J. Lappas
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 James Lappas was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2018. Thomas had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2018 - September 8, 2021
HRC FUND ASSOCIATES, LLC
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
HRC FUND ASSOCIATES, LLC
CRD#: 142846 / SEC#: , 8-67496
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, SCOTT DAVID | MEMBER; FINOP, CFO | 1912249 |
| FONTANA, VICTOR J JR. | CONTROLLER | 6054744 |
| FONTANA, VICTOR JOSEPH | MEMBER, PRESIDENT, COO | 1240936 |
| HILL, RAYMOND ALEXANDER III | MEMBER | 1950094 |
| REICK, TIMOTHY WILLIAM | CEO, MEMBER | 4384534 |
| THE DANIELS GST TRUST | MEMBER | |
| THE FONTANA GST TRUST | MEMBER | |
| THE RAYMOND HILL GST TRUST | MEMBER | |
| DANIELS, SCOTT DAVID | TRUSTEE - THE FONTANA GST TRUST | 1912249 |
| DANIELS, SCOTT DAVID | TRUSTEE - THE RAYMOND HILL GST TRUST | 1912249 |
| DANIELS, TERI ANN | TRUSTEE - THE DANIELS GST TRUST | 6154120 |
| FONTANA, CHRISTINE LYNN | TRUSTEE - THE FONTANA GST TRUST | 6153900 |
| FONTANA, VICTOR JOSEPH | TRUSTEE - THE DANIELS GST TRUST | 1240936 |
| NOWACK, ANDREW PETER | CCO, GENERAL COUNSEL | 2488500 |
Red Flags
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