Thomas D. Clemans
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 David Clemans, CFP®, who also goes by David Clemans, Tom Clemans, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 8 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
July 27, 2021 - December 31, 2023
TD AMERITRADE, INC.
May 5, 2005 - June 27, 2024
CHARLES SCHWAB & CO., INC.
August 19, 2004 - May 2, 2005
BANC ONE SECURITIES CORPORATION
August 19, 2004 - May 2, 2005
BANC ONE SECURITIES CORPORATION
March 11, 2004 - May 2, 2005
CHASE INVESTMENT SERVICES CORP.
March 11, 2004 - May 2, 2005
CHASE INVESTMENT SERVICES CORP.
August 7, 1997 - December 31, 2003
CHARLES SCHWAB & CO., INC.
July 20, 1992 - December 31, 2003
CHARLES SCHWAB & CO., INC.
April 26, 1984 - July 17, 1992
GILBERT MARSHALL & COMPANY
January 31, 1983 - April 11, 1984
AMERICAN FRONTEER FINANCIAL CORPORATION
October 24, 1980 - January 18, 1983
E. F. HUTTON & COMPANY INC
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 8
Date: 10/21/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
