George W. Thomas
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.
George Wesley Thomas III, who also goes by George Wesley Thomas, Wes Thomas III, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1981. George had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2012 - July 26, 2018
SECURITIES AMERICA, INC.
January 11, 2010 - December 7, 2012
INVESTORS SECURITY COMPANY, INC.
June 1, 2008 - September 9, 2009
OSAIC INSTITUTIONS, INC.
May 17, 2006 - June 1, 2008
BI INVESTMENTS, LLC
September 4, 2003 - June 1, 2006
INVESTORS SECURITY COMPANY, INC.
January 8, 2002 - August 6, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 25, 1992 - August 6, 2003
NATIONAL PLANNING CORPORATION
November 21, 1988 - June 27, 1992
GUARDIAN INVESTOR SERVICES LLC
February 23, 1981 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
February 23, 1981 - October 11, 1988
IDS LIFE INSURANCE COMPANY
February 23, 1981 - October 11, 1988
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
