Thomas E. Aul
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 Edward Aul was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 53 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
June 27, 1987 - November 3, 2022
LIBERTY INVESTMENT COUNSEL, LTD.
January 10, 1983 - June 24, 1987
GROOTEMAAT SECURITIES CORPORATION
April 1, 1981 - February 3, 1983
CREATIVE ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LIBERTY INVESTMENT COUNSEL, LTD.
CRD#: 10062 / SEC#: , 8-26128
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PETERSON, RICHARD CHARLES | PRESIDENT, CHIEF COMPLIANCE OFFICER | 361552 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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