Thomas M. Nixon
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 Marion Nixon, who also goes by Tom Nixon, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 53 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
March 5, 2019 - August 5, 2021
CAPE SECURITIES INC.
December 18, 2018 - February 13, 2019
TRUSTMONT FINANCIAL GROUP, INC.
January 7, 2015 - March 5, 2019
DOO FINANCIAL US, INC.
January 6, 1986 - December 31, 2014
THOMAS M. NIXON & ASSOCIATES, INC.
May 22, 1984 - January 6, 1986
BOENNING & SCATTERGOOD, INC.
October 11, 1983 - April 19, 1984
BOWMAN FINANCIAL SERVICES, INC.
April 16, 1982 - September 21, 1983
BOENNING & SCATTERGOOD, INC.
March 1, 1977 - March 30, 1982
ELKINS & CO.
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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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