Thomas C. Fisher
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 Charles Fisher 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 65, Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2005 - December 6, 2005
C.K. COOPER & COMPANY, INC.
July 2, 2001 - December 17, 2004
WEDBUSH SECURITIES INC.
March 20, 1998 - July 17, 2001
ROTH CAPITAL PARTNERS, LLC
July 20, 1994 - February 25, 1998
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - August 3, 1994
WELLS FARGO CLEARING SERVICES, LLC
June 21, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 27, 1987 - June 11, 1988
J.P. MORGAN SECURITIES LLC
March 17, 1982 - February 13, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
September 9, 1980 - November 19, 1983
LEHMAN BROTHERS INC.
August 4, 1980 - August 6, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 21, 1979 - July 13, 1980
MORGAN STANLEY DW 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: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
C.K. COOPER & COMPANY, INC.
CRD#: 106578 / SEC#: , 8-53020
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
