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TE

Thomas M. Elliott

VISION 4 FUND DISTRIBUTORS
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 7566495
TE

Professional summary

Thomas Michael Elliott is a registered financial professional currently at VISION 4 FUND DISTRIBUTORS located in Scottsdale, Arizona.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2023. Thomas has worked at 1 firm and has passed the Series 7TO and SIE 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 Michael Elliott's 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

June 9, 2023 - Present

VISION 4 FUND DISTRIBUTORS

Office #1: 9260 E. Raintree Drive Suite 100, Scottsdale, AZ 85260
BD
CRD#: 298105
Scottsdale, AZ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 6/9/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/14/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

V4
VISION 4 FUND DISTRIBUTORS
VISION 4 FUND DISTRIBUTORS | VISION 4 FUND DISTRIBUTORS LLC

CRD#: 298105 / SEC#: , 8-70175

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

Main Address
9260 E. Raintree Drive Suite 100, Scottsdale, AZ 85260
Mailing Address
9260 E. Raintree Drive Suite 100, Scottsdale, AZ 85260
Phone number
(480) 634-6980
Established
Delaware since 01/23/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GARD, DAVID WAYNEMANAGING DIRECTOR722647
JOHNSON, HENRY PMANAGING DIRECTOR5559118
KUJALOWICZ, PAUL EDWARDPRESIDENT/MANAGING DIRECTOR1020049
SULLIVAN, CORNELIUS JOSEPHMANAGING DIRECTOR2094448
VAINISI, JEROME ARTHURCHIEF EXECUTIVE OFFICER2011056
FOSTER, TODD MICHAELPASSIVE MEMBER3024634
GREER, JOHN WILLIAMPASSIVE MEMBER6148298
LEE, BRYAN MATTHEWPASSIVE MEMBER4779819
QUALTERS, DONALD PPASSIVE MEMBER3184519
DAVIS, TAYLOR RENEECHIEF COMPLIANCE OFFICER5384424
PORTWOOD, WILLIAM BOYCECHIEF FINANCIAL OFFICER/FINOP/PFO/POO4853700

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

VISION 4 FUND DISTRIBUTORS

CRD#: 298105Scottsdale, AZ 85260

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