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THOMAS D PETTY
THOMAS DESHIELDS PETTY, Thomas de Shields Petty, Thomas Petty, Tom Petty
CRD#: 6223048
IA
B
MORGAN STANLEYCRD#: 149777 410 Severn Avenue
Suite 211
Annapolis, MD 21403
Suite 211
Annapolis, MD 21403
0
Disclosures
5
Years of Experience
View By:
State Registrations
B
Arizona 8/11/2020
B
New Jersey 2/13/2025
B
Arkansas 8/11/2020
B
New York 8/11/2020
B
California 8/11/2020
B
North Carolina 8/11/2020
B
Colorado 8/11/2020
B
North Dakota 2/18/2021
B
Delaware 8/11/2020
B
Ohio 8/12/2020
B
District of Columbia 8/11/2020
B
Oklahoma 11/15/2023
B
Florida 8/11/2020
B
Oregon 8/11/2020
B
Georgia 8/11/2020
B
Pennsylvania 8/11/2020
B
Illinois 8/11/2020
B
Rhode Island 8/11/2020
B
Kansas 8/11/2020
B
South Carolina 8/11/2020
B
Maryland 5/5/2020
B
Texas 8/11/2020
IA
Maryland 5/5/2020
IA
Texas 8/13/2020
B
Massachusetts 8/11/2020
B
Virginia 5/5/2020
B
Michigan 8/11/2020
B
West Virginia 8/11/2020
B
Missouri 10/30/2023
B
Wisconsin 11/2/2023
B
Nevada 8/11/2020
B
Wyoming 8/11/2020
B
New Hampshire 9/14/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 5/5/2020
B
Registered with this firm since 5/5/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/13/2019 - 09/18/2019 | COLUMBIA, MD | |
B | 02/26/2019 - 05/07/2019 | ANNAPOLIS, MD |
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.