Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that Maryland-based Dawson James Securities broker Thomas Curtis has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Curtis (CRD# 1402285).
Thomas Curtis has spent 29 years in the securities industry and has been registered with Dawson James Securities in Columbia, Maryland since 2008. Previous registrations include Spencer Edwards in Centennial, Colorado (2007-2008); Moors & Cabot Financial Advisors in Dayton, Maryland (2005); Moors & Cabot in Dayton, Maryland (1999-2005); Schneider Securities in Denver, Colorado (1995-1997); Baraban Securities in Los Angeles, California (1994-1995); Tamaron Investments in Englewood, Colorado (1992-1994); JW Gant & Associates (1987-1992); and Michelin & Company (1985-1987). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 2, 1985; Series 7 (General Securities Representative Examination), which he obtained on August 17, 1985; Series 4 (Registered Options Principal Examination), which he obtained on November 30, 1987; and Series 24 (General Securities Principal Examination), which he obtained on November 10, 1985. He is a registered broker with 35 US states and territories and with two self-regulatory organizations: FINRA and the Nasdaq Stock Market.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.