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SCOTT PAUL THOMAS
CRD#: 4412926
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 525 Junction Road
Suite 6500, Offices 647, 648, 662
Madison, WI 53717
Suite 6500, Offices 647, 648, 662
Madison, WI 53717
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Arizona 10/27/2020
B
New Mexico 3/14/2022
B
California 9/25/2024
B
New York 8/20/2018
B
District of Columbia 2/6/2023
B
North Carolina 7/26/2024
B
Florida 8/22/2018
B
South Carolina 1/29/2024
B
Illinois 10/7/2022
B
South Dakota 6/14/2023
B
Iowa 8/20/2018
B
Texas 1/2/2025
B
Kentucky 8/20/2019
B
Wisconsin 4/6/2016
B
Michigan 6/28/2018
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Wisconsin 4/6/2016
B
Minnesota 5/7/2019
SRO Registrations
B
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Registered with this firm since 4/6/2016
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Registered with this firm since 4/6/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/17/2006 - 03/31/2016 | MADISON, WI | |
B | 12/01/2001 - 10/02/2006 | MADISON, WI | |
B | 07/03/2001 - 12/01/2001 | MORRIS PLAINS, NJ |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.