Thomas Boaks
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 Boaks II, who also goes by Thomas Boaks, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2013 - January 8, 2015
BROADSTONE SECURITIES
April 18, 2011 - April 30, 2013
CONCORDE INVESTMENT SERVICES, LLC
January 5, 2010 - April 20, 2011
PROFESSIONAL ASSET MANAGEMENT, INC.
August 24, 1993 - December 31, 2009
BENTLEY-LAWRENCE SECURITIES, INC.
August 2, 1993 - August 24, 1993
BENTLEY-LAWRENCE SECURITIES, INC.
December 23, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
February 6, 1990 - December 23, 1992
USA FINANCIAL GROUP, INC.
October 16, 1989 - March 1, 1990
HAMILTON INVESTMENTS, INC.
January 15, 1986 - October 31, 1989
KORN, WOMACK, STERN AND ASSOCIATES, INC.
May 29, 1985 - January 13, 1986
VALUE EQUITIES CORPORATION
January 22, 1985 - May 24, 1985
MARINER FINANCIAL SERVICES, INC.
September 27, 1983 - January 22, 1985
FIRST NATIONAL SECURITITES CORPORATION
November 24, 1980 - October 28, 1982
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
BROADSTONE SECURITIES
CRD#: 101600 / SEC#: , 8-52094
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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