Thomas R. Bolton
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 Robert Bolton was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 5 firms and has passed the Series 63, Series 5, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 1998 - March 2, 1999
ICBA FINANCIAL SERVICES CORPORATION
September 26, 1995 - December 13, 1996
IFMG SECURITIES, INC.
May 20, 1994 - September 18, 1995
WALL STREET ACCESS
April 11, 1988 - October 9, 1992
LEHMAN BROTHERS INC.
September 1, 1978 - April 11, 1988
E. F. HUTTON & COMPANY 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
Series 5
Date: 2/9/1982
Interest Rate Options ExaminationSeries 12
Date: 12/3/1979
NYSE Branch Manager ExaminationCurrent Firm
ICBA FINANCIAL SERVICES CORPORATION
CRD#: 35089 / SEC#: , 8-46466
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICBA SERVICES NETWORK, INC. | INTERMEDIARY | |
| HOPKINS, PATRICIA MOORE | CFO | 5274802 |
| KOVACH, DONALD L | DIRECTOR | 3048386 |
| MARKOS, ARTHUR CHRISTOPHER | DIRECTOR | 4467733 |
| NUNN, JEFF ALAN | CHAIRMAN | 4682156 |
| REID, WILLIAM WOODROW JR | PRESIDENT/CEO/CCO/AML CCO | 1495810 |
| TEAGNO, GARY CHARLES | SECRETARY/VICE CHAIRMAN | 847410 |
| WALSH, CHARLES EUGENE | DIRECTOR | 5174532 |
| YOST, KURT TAYLOR | DIRECTOR |
Red Flags
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