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TB

Thomas W. Bishop

VALMARK SECURITIES
Gloucester, MA 01930
Some features on this profile are disabled
CRD#: 715065
TB

Professional summary

Thomas Wellington Bishop is a registered financial professional currently at VALMARK SECURITIES, INC. located in Gloucester, Massachusetts.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1980. Thomas has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Wellington Bishop's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 1, 2013 - Present

VALMARK SECURITIES, INC.

Office #1: 32a Kennedy Road, Gloucester, MA 01930
BD
CRD#: 31243
Gloucester, MA
Past

March 18, 2001 - December 12, 2007

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
BEVERLY, MA
Past

February 24, 1998 - December 12, 2007

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
BEVERLY, MA
Past

January 31, 1997 - February 24, 1998

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

June 21, 1994 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA
Past

June 17, 1993 - July 8, 1994

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

November 6, 1991 - April 7, 1993

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

December 16, 1989 - May 8, 1990

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

June 18, 1987 - December 16, 1989

LINSCO FINANCIAL GROUP, INC.

BD
CRD#: 524
Past

February 9, 1987 - June 15, 1994

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH
Past

August 30, 1982 - February 24, 1987

OSAIC FS, INC.

BD
CRD#: 3870
Past

September 5, 1980 - March 23, 1982

G. R. PHELPS & CO., INC.

BD
CRD#: 173

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/10/2020)
RR
Florida
(12/12/2014)
RR
Massachusetts
(7/9/2013)
RR
Mississippi
(3/31/2015)
RR
New Hampshire
(7/17/2013)
RR
Oregon
(5/9/2022)
RR
Wyoming
(3/8/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/9/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/1/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/1/2013
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 8/23/1980
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VALMARK SECURITIES, INC.
VALMARK SECURITIES, INC.

CRD#: 31243 / SEC#: , 8-45463

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
130 Springside Drive Suite 300, Akron, OH 44333-2431
Mailing Address
130 Springside Drive Suite 300, Akron, OH 44333-2431
Phone number
(800) 765-5201
Established
Ohio since 12/08/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VALMARK INVESTMENTS, LLCSHAREHOLDER
CALLAHAN, CALEB JONATHANEVP, CHIEF OPERATING OFFICER5011454
KOZENKO, ELIZABETH ERINFINOP6218110
RYBKA, LAWRENCE JOSEPHPRESIDENT, CEO1661511
WILBURN, DOUGLAS FREDERICKCHIEF COMPLIANCE OFFICER/GENERAL COUNSEL1407686

Disclosures

Regulatory Event4

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.

Company Information

VALMARK SECURITIES, INC.

CRD#: 31243Gloucester, MA 01930

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