Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 30, 2019 indicate that Tennessee-based Thoroughbred Financial Services broker/adviser Thomas Parker has received numerous customer disputes and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Parker (CRD# 356789).
Thomas Parker has spent 45 years in the securities industry and has been registered with Thoroughbred Financial Services in Brentwood, Tennessee since 2000. Previous registrations include Advanced Financial Planning Securities Corporation in Brentwood, Tennessee (1986-2000); Capital Analysts (1974-1986); and Advance Planning Corporation (1973-1974). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 22, 1982; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 1 (Registered Representative Examination), which he obtained on November 13, 1973; and Series 24 (General Securities Principal Examination), which he obtained on January 31, 1986. He is a registered broker and investment adviser with 26 US states and territories.
According to his BrokerCheck report, he has received nine customer complaints, two regulatory sanctions, and one pending investigation by state authorities.