Thomas A. Douglas
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 Allen Douglas JR, who also goes by Tad Douglas, Thomas A Douglas Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 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
May 22, 2019 - October 14, 2021
IFP SECURITIES, LLC
December 9, 2015 - October 14, 2021
INDEPENDENT FINANCIAL PARTNERS
June 25, 2009 - December 9, 2015
LPL FINANCIAL LLC
June 25, 2009 - June 14, 2019
LPL FINANCIAL LLC
August 18, 2006 - July 21, 2009
UBS FINANCIAL SERVICES INC.
August 18, 2006 - July 21, 2009
UBS FINANCIAL SERVICES INC.
September 19, 2005 - October 10, 2006
AMERICAN PORTFOLIOS ADVISORS, INC
September 20, 2004 - August 11, 2006
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
April 19, 2004 - September 16, 2004
QUICK & REILLY, INC.
July 3, 2003 - September 16, 2004
QUICK & REILLY, INC.
July 19, 2000 - July 1, 2003
EDWARD JONES
July 29, 1994 - May 8, 2000
THE SACHS COMPANY
March 1, 1994 - July 22, 1994
PNC BROKERAGE CORP
October 7, 1992 - March 9, 1994
CAPITAL BROKERAGE CORPORATION
April 21, 1992 - October 13, 1992
NTS SECURITIES, INC.
June 28, 1989 - March 21, 1990
GUARDIAN INVESTOR SERVICES LLC
January 11, 1989 - June 20, 1989
MARION BASS SECURITIES CORPORATION
December 2, 1987 - January 23, 1989
J.C. BRADFORD & CO.
November 18, 1986 - December 8, 1986
FOCUS SECURITIES, INC.
November 18, 1986 - December 7, 1987
COLONIAL INVESTMENT SERVICES, INC.
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: 5/21/1976
Registered Representative ExaminationCurrent Firm
IFP SECURITIES, LLC
CRD#: 297287 / SEC#: , 8-70150
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFP GROUP, LLC | OWNER | |
| ACHESON, JEFFERY ALLEN | CHIEF BUSINESS DEVELOPMENT OFFICER | 706698 |
| GILMAN, AARON LEE | CHIEF INVESTMENT OFFICER | 5611425 |
| HAMM, WILLIAM CHRISTOPHER | PRESIDENT, CHIEF OPERATING OFFICER | 5814331 |
| HAMM, WILLIAM EUGENE JR | CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS | 1227713 |
| JOHNSON, TORIAN | CHIEF COMPLIANCE OFFICER | 5363604 |
| MEJIA, OSCAR MIGUEL | FINOP | 5569235 |
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.
