Thomas W. Randall
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 Wade Randall was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 7 firms and has passed the Series 63, Series 66, SIE 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
October 28, 2014 - April 15, 2015
NMS CAPITAL SECURITIES, LLC
November 14, 2012 - October 9, 2013
GVC CAPITAL LLC
May 26, 2010 - October 15, 2010
NEWOAK CAPITAL MARKETS LLC
January 24, 2005 - July 11, 2007
CARIS & COMPANY, INC.
May 18, 1999 - December 31, 2000
TORREY PINES SECURITIES, INC.
December 2, 1994 - February 9, 1996
DCC SECURITIES CORP.
January 8, 1992 - November 10, 1992
DCC SECURITIES CORP.
January 24, 1990 - February 15, 1990
CREDIT AGRICOLE SECURITIES (USA) INC.
State Registrations and Notice Filings
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Exams
Current Firm
NMS CAPITAL SECURITIES, LLC
CRD#: 107401 / SEC#: , 8-53037
Contact information
Documents
Red Flags
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