Thomas E. Sears
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 Emerson Sears III, who also goes by Thomas Emerson Sears, Tom Sears III, 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 63, Series 7 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
October 17, 1998 - April 18, 2001
S&P INVESTORS, INC.
October 20, 1993 - November 6, 1998
FETTERMAN INVESTMENTS, INC.
July 23, 1987 - September 20, 1993
PRINCIPAL FINANCIAL SECURITIES,INC.
September 12, 1984 - July 24, 1987
HILLTOP SECURITIES INC.
June 1, 1982 - September 14, 1984
INSTITUTIONAL EQUITY CORPORATION
October 3, 1977 - June 10, 1982
PRINCIPAL FINANCIAL SECURITIES,INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
S&P INVESTORS, INC.
CRD#: 18421 / SEC#: , 8-36653
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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