Thomas J. Pierce
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 Joseph Pierce 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, SIE, PC, Series 7 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
August 27, 2012 - December 26, 2018
VAN CLEMENS & CO. INCORPORATED
September 30, 2002 - August 21, 2012
FELTL & COMPANY
November 16, 2000 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
August 13, 1997 - October 1, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
March 27, 1989 - August 13, 1997
JOHN G. KINNARD AND COMPANY, INCORPORATED
May 5, 1978 - April 11, 1989
DAIN RAUSCHER INCORPORATED
September 1, 1976 - May 5, 1978
DAIN, KALMAN & QUAIL, INCORPORATED
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
PC
Date: 6/1/1977
AMEX Put and Call ExamCurrent Firm
VAN CLEMENS & CO. INCORPORATED
CRD#: 6914 / SEC#: , 8-18414
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
