Thomas L. Griffin
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 Lewis Griffin, who also goes by Tom Griffin, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 10 firms and has passed the Series 63, Series 3, Series 15, Series 5, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 1998 - January 30, 1998
OMEGA SECURITIES, INC.
June 9, 1994 - September 11, 1995
SIGNAL SECURITIES, INC.
May 20, 1991 - June 15, 1992
LEHMAN BROTHERS INC.
December 14, 1989 - May 10, 1991
AMERICA/SOUTHWESTERN SECURITIES GROUP, INC.
October 3, 1989 - January 31, 1990
MOMENTUM INDEPENDENT NETWORK INC.
June 1, 1988 - October 18, 1989
T.L. SMITH SECURITIES
January 1, 1988 - July 12, 1988
MATCH-POINT SECURITIES, LLC
June 24, 1986 - March 9, 1988
UNIVERSITY PARTNERS INVESTMENT GROUP, INC.
December 27, 1984 - July 1, 1986
LEHMAN BROTHERS INC.
February 21, 1984 - December 21, 1984
J.P. MORGAN SECURITIES LLC
May 22, 1980 - March 21, 1984
PRUDENTIAL EQUITY GROUP, 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
Series 15
Date: 11/28/1983
Foreign Currency Options ExaminationSeries 5
Date: 11/3/1983
Interest Rate Options ExaminationSeries 12
Date: 1/15/1983
NYSE Branch Manager ExaminationCurrent Firm
OMEGA SECURITIES, INC.
CRD#: 7164 / SEC#: , 8-20225
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRYANT, TAMERA ANN | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | 2486047 |
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.
