Thomas B. Nolan
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 Bernard Nolan III, who also goes by Thomas Bernard Nolan, Tom Nolan III, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 50, Series 7, Series 54 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2001 - February 23, 2022
ESTRADA HINOJOSA & COMPANY, INC.
July 20, 2000 - January 9, 2001
SERVICE ASSET MANAGEMENT COMPANY
May 3, 1999 - September 6, 2000
PENSON FINANCIAL SERVICES, INC.
March 2, 1998 - June 23, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 5, 1991 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
February 19, 1985 - April 26, 1991
SBC WARBURG DILLON READ INC.
July 22, 1983 - February 25, 1985
THOMSON MCKINNON SECURITIES INC.
July 19, 1982 - July 12, 1983
ROTAN MOSLE INC.
May 14, 1982 - June 7, 1982
ROTAN MOSLE INC.
August 18, 1980 - April 12, 1982
HSBC BROKERAGE (USA) INC.
May 1, 1979 - September 7, 1980
HERBERT J. SIMS & CO, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ESTRADA HINOJOSA & COMPANY, INC.
CRD#: 19299 / SEC#: 801-61971, 8-37440
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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