Thomas J. Hartfield
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 Joseph Hartfield was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 18, 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
June 7, 2006 - December 15, 2014
ANNASCAUL ADVISORS LLC
January 13, 2003 - March 2, 2005
HOULIHAN LOKEY CAPITAL, INC.
January 28, 2002 - November 5, 2002
MCFARLAND DEWEY SECURITIES CO., LLC
June 29, 1998 - August 7, 2001
UBS SECURITIES LLC
June 27, 1983 - June 29, 1998
SBC WARBURG DILLON READ INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 18
Date: 8/20/1983
Securities Industry Rules and Regulations ExaminationSeries 40
Date: 11/3/1977
Registered Principal ExaminationCurrent Firm
ANNASCAUL ADVISORS LLC
CRD#: 124349 / SEC#: , 8-65660
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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