Robert S. Thomas
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.
Robert Scott Thomas, who also goes by Bob Scott Thomas, Rob Scott Thomas, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 1996 - April 1, 2019
SEI INVESTMENTS DISTRIBUTION CO.
July 29, 1993 - February 8, 1996
DALY INVESTMENT CO.
December 14, 1988 - December 5, 1989
JEFFERIES LLC
May 30, 1987 - December 19, 1987
THOMSON MCKINNON SECURITIES INC.
November 2, 1985 - June 5, 1986
FFPS BROKERAGE, INC.
July 13, 1978 - November 15, 1983
BECKER PARIBAS INCORPORATED
June 1, 1977 - July 13, 1978
BECKER SECURITIES 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 40
Date: 11/29/1978
Registered Principal ExaminationCurrent Firm
SEI INVESTMENTS DISTRIBUTION CO.
CRD#: 10690 / SEC#: , 8-27897
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEI INVESTMENTS COMPANY | SHAREHOLDER | |
| CAMPISI, JENNIFER HICKMAN | CHIEF COMPLIANCE OFFICER, ASST SECRETARY | 5299753 |
| COARY, JOHN PATRICK | TREASURER, CFO | 2551648 |
| CROWE, KEVIN FRANCIS | DIRECTOR | 2109967 |
| DORAN, WILLIAM M | DIRECTOR | 1476724 |
| KLAUDER, PAUL FRANCIS | DIRECTOR, PRESIDENT, CEO | 2474240 |
| MCGHIN, JASON MICHAEL | COO | 3119188 |
| MUNCH, JOHN CHARLES | SECRETARY, GENERAL COUNSEL | 4739576 |
Disclosures
| Regulatory Event | 4 |
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.
