Thomas A. Caton
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 Andrew Caton 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 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2011 - June 10, 2013
AUSTIN ATLANTIC CAPITAL INC.
March 2, 2010 - October 15, 2010
NEWOAK CAPITAL MARKETS LLC
September 2, 1994 - July 25, 2007
FORESTERS FINANCIAL SERVICES, INC.
November 15, 1988 - August 12, 1991
FORESTERS FINANCIAL SERVICES, INC.
November 15, 1988 - October 14, 1993
FIRST INVESTORS MANAGEMENT COMPANY, INC.
August 20, 1985 - September 3, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
October 22, 1976 - January 22, 1978
DAVIS, SKAGGS & CO., 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
Current Firm
AUSTIN ATLANTIC CAPITAL INC.
CRD#: 43981 / SEC#: , 8-50509
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
