Thomas J. Houston
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 Houston, who also goes by Thomas J Houston, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 7 firms and has passed the Series 63, Series 7, Series 4 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 28, 1985 - January 27, 1986
BARTEL SECURITIES, INC.
February 23, 1984 - July 8, 1985
JANNEY MONTGOMERY SCOTT LLC
February 7, 1983 - December 8, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1983 - November 17, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 1982 - January 20, 1983
MOSELEY SECURITIES CORPORATION
March 25, 1981 - August 13, 1982
PHILIPS, APPEL & WALDEN, INC.
April 2, 1980 - April 9, 1981
E. W. SMITH CO.
May 25, 1979 - March 31, 1980
MOSELEY SECURITIES CORPORATION
March 1, 1978 - June 17, 1979
FIRST JERSEY SECURITIES, INC.
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
Current Firm
BARTEL SECURITIES, INC.
CRD#: 8269 / SEC#: , 8-25044
Contact information
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.
