Thomas F. Eggers
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 Frederick Eggers, who also goes by Tom Eggers, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 10 firms and has passed the Series 63, Series 5, 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
February 9, 2011 - October 4, 2011
MATRIX CAPITAL GROUP, INC.
April 1, 2005 - April 1, 2008
BNY MELLON SECURITIES CORPORATION
August 5, 2002 - June 27, 2003
SCUDDER FINANCIAL SERVICES, INC.
August 5, 2002 - April 6, 2005
DWS DISTRIBUTORS, INC.
August 2, 2002 - December 2, 2002
DEAM INVESTOR SERVICES, INC.
March 26, 2002 - May 1, 2002
MBSC, LLC
November 14, 1997 - January 30, 2002
DREYFUS BROKERAGE SERVICES, INC.
July 29, 1996 - April 30, 2002
BNY MELLON SECURITIES CORPORATION
January 18, 1989 - April 10, 1996
UBS ASSET MANAGEMENT (US) INC.
January 4, 1980 - January 14, 1989
UBS FINANCIAL SERVICES INC.
December 19, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 5
Date: 12/8/1981
Interest Rate Options ExaminationCurrent Firm
MATRIX CAPITAL GROUP, INC.
CRD#: 33364 / SEC#: 801-61224, 8-46398
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
