Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 28, 2016 indicate that California-based Sterne Agee Financial Services broker Thomas Ayer is the subject of a pending customer dispute. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ayer (CRD# 9243).
Thomas Ayer has spent 54 years in the securities industry and has been registered with Sterne Agee Financial Services in Oakland, California since August 2009. Previous registrations include Emmett A. Larkin Company in Oakland, California (2006-2009); AM Howells & Company in Oakland, California (1973-2006); and Smith Barney Harris Upham (1962-1973). He is a registered broker with four US states: California, Colorado, Oklahoma, and Washington.
According to his BrokerCheck report, Thomas Ayer has received one pending customer complaint.