Thomas G. Cloud
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 Gordon Cloud, who also goes by Tom Cloud, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 5 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 1990 - July 6, 1992
DERAND/PENNINGTON/BASS, INC.
September 6, 1983 - April 25, 1989
SOURCE SECURITIES, INC.
January 23, 1980 - August 31, 1983
ENTERPRISE FUND DISTRIBUTORS, INC.
June 28, 1977 - March 22, 1980
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
March 17, 1977 - August 13, 1977
ETI INVESTMENT CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 3/14/1977
Registered Representative ExaminationCurrent Firm
DERAND/PENNINGTON/BASS, INC.
CRD#: 4679 / SEC#: , 8-15267
Contact information
Documents
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.
