Thomas Shian
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 Shian was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1977. Thomas had worked at 11 firms and has passed the Series 66, Series 63, Series 7 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
December 18, 2007 - February 1, 2008
1ST DISCOUNT BROKERAGE, INC.
December 6, 2007 - December 6, 2007
1ST DISCOUNT BROKERAGE, INC.
April 15, 2005 - February 1, 2008
1ST DISCOUNT BROKERAGE, INC.
October 9, 2003 - April 12, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 8, 2002 - September 15, 2003
VSR FINANCIAL SERVICES, INC.
March 9, 2001 - August 8, 2002
WALL STREET FINANCIAL GROUP, INC.
September 7, 2000 - March 19, 2001
WALNUT STREET SECURITIES, INC.
February 10, 1995 - December 31, 1999
VOYA FINANCIAL ADVISORS, INC.
March 23, 1993 - February 9, 1995
OSAIC WEALTH, INC.
February 26, 1986 - March 26, 1993
WALNUT STREET SECURITIES, INC.
October 5, 1982 - November 19, 1984
OSAIC FS, INC.
February 21, 1982 - January 12, 1984
GENERAL AMERICAN LIFE INSURANCE COMPANY
December 28, 1981 - March 18, 1986
LINCOLN NATIONAL PENSION INSURANCE COMPANY
December 8, 1977 - March 18, 1986
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
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: 12/1/1977
Registered Representative ExaminationCurrent Firm
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 108,117,119 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
