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Detailed Report
Thomas B Hoover
Thomas Brian Hoover
CRD#: 3208258
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 CAPE CORAL, FL
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2020 - 2022 (2 years)2 FIRMS2022 - 2023 (<1 year)2 FIRMS2024 - Present (<1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2005 - 2019 (13 years)BSIGNATOR INVESTORS, INC. (CRD# 468)2005 - 2005 (<1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2000 - 2004 (4 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2000 - 2002 (1 year)IAFORTHRIGHT CAPITAL ADVISORY (CRD# 323596)2023 - 2023 (<1 year)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2006 - 2019 (13 years)
License(s)

State Registrations

IA
Florida 4/15/2024
B
Florida 5/7/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
CAPE CORAL, FL
Registered with this firm since 4/15/2024
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
CAPE CORAL, FL
Registered with this firm since 4/14/2024
Previous Registration(s)
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IA
 07/27/2023 - 11/07/2023 FORTHRIGHT CAPITAL ADVISORY (CRD#:323596) Cape Coral, FL
IA
 10/25/2022 - 05/24/2023 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD#:611) FORT MYERS, FL
B
 10/24/2022 - 05/24/2023 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD#:611) FORT MYERS, FL
IA
 06/10/2020 - 09/21/2022 PARK AVENUE SECURITIES LLC (CRD#:46173) FORT MYERS, FL
B
 04/14/2020 - 09/21/2022 PARK AVENUE SECURITIES LLC (CRD#:46173) FORT MYERS, FL
IA
 01/23/2006 - 02/07/2019 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) Cape Coral, FL
B
 07/12/2005 - 02/07/2019 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MILWAUKEE, WI
B
 02/05/2005 - 06/30/2005 SIGNATOR INVESTORS, INC. (CRD#:468) BOSTON, MA
B
 03/03/2000 - 11/04/2004 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MILWAUKEE, WI
B
 03/03/2000 - 01/01/2002 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.