Thomas R. Settle
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 Settle was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 6 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 1991 - December 16, 2013
THE WINCHESTER GROUP, INC.
May 8, 1991 - February 18, 2014
THE WINCHESTER GROUP, INC.
October 11, 1989 - October 1, 1991
THE STAMFORD COMPANY, INC.
September 12, 1985 - October 23, 1989
HYCLIFF ASSOCIATES LIMITED
November 7, 1979 - July 29, 1985
ABN AMRO SECURITIES LLC
February 22, 1978 - December 2, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 22, 1976 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE WINCHESTER GROUP, INC.
CRD#: 27704 / SEC#: 801-37906, 8-43202
Contact information
Disclosures
| Regulatory Event | 3 |
Red Flags
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