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THOMAS J. BUCK (CRD# 1024868)
Individual registration as a broker, investment advisor, or both
Not Licensed
Disclosures including customer complaints, regulatory actions and criminal convictions
38 Disclosure(s)
Employment and registration history
33 year(s) in securities industry
Qualifications: exams passed and state licenses
Passed 6 Exam(s)
Registered with 0 U.S. states and territories
FINRA has permanently barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
Individual registration as a broker, investment advisor, or both
Not Licensed
This individual is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures including customer complaints, regulatory actions and criminal convictions
Disclosure Events Registration History
Event details are displayed as entered by the reporting source (broker, firm or regulator). The detailed report contains information from all sources that reported the event.
Disclosure Event(s)
02/02/2016
Customer Dispute - Pending
02/02/2016
Customer Dispute - Pending
02/02/2016
Customer Dispute - Pending
02/02/2016
Customer Dispute - Pending
02/02/2016
Customer Dispute - Pending
01/28/2016
Customer Dispute - Pending
01/27/2016
Customer Dispute - Settled
12/11/2015
Customer Dispute - Settled
11/17/2015
Customer Dispute - Settled
10/15/2015
Customer Dispute - Settled
10/15/2015
Customer Dispute - Settled
08/24/2015
Customer Dispute - Settled
08/24/2015
Customer Dispute - Settled
08/12/2015
Customer Dispute - Settled
08/11/2015
Customer Dispute - Settled
08/04/2015
Customer Dispute - Settled
07/29/2015
Customer Dispute - Settled
07/24/2015
Regulatory - Final
07/22/2015
Customer Dispute - Settled
07/07/2015
Customer Dispute - Settled
07/07/2015
Customer Dispute - Settled
06/26/2015
Customer Dispute - Settled
06/05/2015
Customer Dispute - Pending
06/01/2015
Customer Dispute - Settled
05/29/2015
Customer Dispute - Settled
05/29/2015
Customer Dispute - Settled
05/19/2015
Customer Dispute - Settled
05/13/2015
Customer Dispute - Settled
05/04/2015
Customer Dispute - Settled
04/27/2015
Customer Dispute - Settled
04/24/2015
Customer Dispute - Settled
04/23/2015
Customer Dispute - Settled
04/10/2015
Customer Dispute - Denied
04/10/2015
Customer Dispute - Settled
03/23/2015
Customer Dispute - Settled
03/11/2015
Customer Dispute - Settled
03/04/2015
Employment Separation After Allegations
05/31/2006
Customer Dispute - Settled
Employment and registration history
Current Registration(s)
This broker is not currently registered with any firm.

Previous Registration(s)
04/2015 - 07/2015
RBC CAPITAL MARKETS, LLC (CRD# 31194) - INDIANAPOLIS, IN
12/1981 - 04/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - INDIANAPOLIS, IN
Qualifications: exams passed and state licenses
Passed 6 Exam(s)
Principal/ Supervisory Exam
General Securities Sales Supervisor Examination (Options Module & General Module)
Series 8
04/03/1985
General Industry/ Product Exam
Interest Rate Options Examination
Series 5
01/26/1982
General Securities Representative Examination
Series 7
12/19/1981
Foreign Currency Options Examination
Series 15
10/07/1987
State Securities Law Exam
Uniform Securities Agent State Law Examination
Series 63
01/06/1982
Uniform Investment Adviser Law Examination
Series 65
08/15/1994

Passing a qualifying exam, together with a current FINRA registration, enables a broker to engage in specific activities. Learn more about FINRA exams and registration requirements.
This broker is not currently registered with any state or SRO.
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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