Thomas R. Perry
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 Richard Perry was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 7, Series 53, Series 4 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
February 6, 2001 - December 31, 2001
PORTFOLIO BROKERAGE SERVICES, INC.
January 1, 1999 - April 9, 2018
B. C. ZIEGLER AND COMPANY
March 21, 1994 - January 1, 1999
GS2 SECURITIES, INC.
July 13, 1990 - November 1, 1991
BANC ONE SECURITIES CORPORATION
June 8, 1989 - July 13, 1990
BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION
October 17, 1988 - April 11, 1989
DAIN RAUSCHER INCORPORATED
September 17, 1981 - October 17, 1988
THE MILWAUKEE COMPANY
September 7, 1978 - September 12, 1981
FREDERICK & COMPANY, INC.
April 1, 1977 - September 1, 1978
ROBERT W. BAIRD & CO. 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
Series 55
Date: 9/15/1998
Limited Representative-Equity Trader ExamCurrent Firm
PORTFOLIO BROKERAGE SERVICES, INC.
CRD#: 18554 / SEC#: , 8-36915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PMC INTERNATIONAL, INC. | PARENT COMPANY | |
| LUGOWSKI, MICHAEL GIORDANO | CHIEF COMPLIANCE OFFICER | 5132003 |
Disclosures
| Regulatory Event | 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.
