Thomas R. Davis
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 Randall Davis was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 10 firms and has passed the Series 65 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2010 - September 10, 2013
MONTICELLO INVESTMENT SERVICES, INC.
February 10, 2009 - September 10, 2013
MIDAMERICA FINANCIAL SERVICES, INC.
January 1, 2004 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
April 30, 1999 - January 1, 2004
LOCUST STREET SECURITIES, INC.
August 13, 1986 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 13, 1986 - April 21, 1999
SIGNATOR INVESTORS, INC.
June 14, 1985 - July 17, 1986
WALNUT STREET SECURITIES, INC.
April 23, 1982 - March 6, 1984
GENERAL AMERICAN LIFE INSURANCE COMPANY
October 20, 1980 - August 20, 1986
EQUITABLE ADVISORS, LLC
November 1, 1974 - August 18, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 10/23/1974
Registered Representative ExaminationCurrent Firm
MONTICELLO INVESTMENT SERVICES, INC.
CRD#: 140851 / SEC#: 801-73177
Contact information
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.
