Thomas Von Reckers
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 Von Reckers, who also goes by Tom Von Reckers, Thomas Vonreckers, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2022 - December 31, 2024
VON RECKERS WEALTH MANAGEMENT, CORP.
March 22, 2021 - February 14, 2022
CETERA WEALTH SERVICES, LLC
September 20, 2019 - February 14, 2022
CETERA WEALTH SERVICES, LLC
July 13, 2018 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
July 13, 2018 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
April 8, 2011 - July 17, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 8, 2011 - July 17, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 1, 2008 - April 8, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 8, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 3, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
September 3, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
December 3, 2002 - September 16, 2004
QUICK & REILLY, INC.
December 3, 2002 - September 16, 2004
QUICK & REILLY, INC.
April 26, 2001 - December 10, 2002
MORGAN STANLEY DW INC.
March 21, 2000 - December 10, 2002
MORGAN STANLEY DW INC.
September 8, 1999 - April 28, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 1984 - August 25, 1999
PRUDENTIAL EQUITY GROUP, LLC
February 22, 1980 - January 6, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 15
Date: 8/14/1996
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 2/14/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VON RECKERS WEALTH MANAGEMENT, CORP.
CRD#: 312790 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 26,100,000 |
Red Flags
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