Thomas PlattCRD Number: 3177706
Current Firm: Citizens Securities, Inc.
Thomas Platt (CRD# 3177706) is an Investment Advisor Representative working at Citizens Securities, Inc. in Utica, NY and has over 18 years of experience in the finance industry.
Wells Fargo Advisors, LLC
Cadaret Grant & Co Inc.
M. Griffith Investment Services, Inc.
|Cco Investment Services Corp||Oneida, NY||Nov 2005 - Current||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1999|
|S65||NASAA Investment Advisors Law Examination||Dec 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management27,379MILLIONS
Total Number of Accounts19,253ACCOUNTS
Average Account Value$1,422,068
- A percentage of assets under your management
- Selection of other advisers (including private fund managers)
AL, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KY, LA, MD, ME, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV