Thomas J. Jordan
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 James Jordan SR. was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 22, Series 6 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
July 23, 2020 - November 28, 2022
LION STREET FINANCIAL, LLC
May 8, 2018 - February 13, 2020
SWBC INVESTMENT SERVICES, LLC
November 12, 2003 - May 29, 2018
M HOLDINGS SECURITIES, INC.
December 20, 2000 - July 22, 2003
CBIZ FINANCIAL SOLUTIONS, INC.
December 19, 1997 - November 6, 2000
ARGENT INVESTMENT SERVICES, INC.
July 19, 1990 - September 30, 1997
WALNUT STREET SECURITIES, INC.
April 18, 1988 - June 12, 1990
MML INVESTORS SERVICES, LLC
September 5, 1986 - September 30, 1987
CARILLON INVESTMENTS, INC.
March 22, 1984 - June 12, 1990
MML INVESTORS SERVICES, LLC
January 27, 1984 - July 11, 1986
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 6/7/1979
Registered Representative ExaminationCurrent Firm
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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