Thomas L. Atkins
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 Lee Atkins, who also goes by Tom Atkins, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - October 3, 2016
ASSETMARK BROKERAGE, LLC
December 3, 2013 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
April 1, 2008 - November 11, 2013
CAPITAL BROKERAGE CORPORATION
September 22, 2004 - October 3, 2016
ASSETMARK, INC.
May 25, 2001 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
February 22, 2000 - May 25, 2001
GROVE POINT INVESTMENTS, LLC
November 21, 1995 - March 30, 1999
GROVE POINT INVESTMENTS, LLC
April 21, 1995 - November 27, 1995
VELASCO SECURITIES, INC.
June 29, 1992 - April 7, 1995
GROVE POINT INVESTMENTS, LLC
May 17, 1990 - June 7, 1991
POLARIS SECURITIES CORPORATION
July 18, 1989 - January 9, 1990
NYLIFE SECURITIES LLC
February 2, 1988 - June 7, 1991
POLARIS SECURITIES CORPORATION
August 27, 1986 - December 8, 1987
WATSON & TAYLOR INVESTMENTS INC.
July 2, 1986 - August 25, 1986
DANIEL REALTY SECURITIES CORPORATION
April 21, 1977 - September 30, 1985
DERAND/PENNINGTON/BASS, INC.
November 1, 1976 - May 13, 1977
HI SECURITIES, INC.
September 16, 1974 - December 13, 1976
A. G. EDWARDS & SONS, INC.
May 2, 1972 - October 4, 1974
LEGG MASON WOOD WALKER, 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 1
Date: 4/18/1972
Registered Representative ExaminationCurrent Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
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.
