THOMAS BARTON TWITTY

THOMAS BARTON TWITTY is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 250 RIVERCHASE PARKWAY E, BIRMINGHAM, AL, 35244.

THOMAS BARTON TWITTY has worked at CETERA INVESTMENT SERVICES LLC since April 30, 2013

Disclosure History

THOMAS BARTON TWITTY has 1 Disclosure Event(s).

Date: June 26, 1978
Category: Criminal
Charges: 1 COUNT-MISDEMEANOR-WORTHLESS CHECK Charge Type: MISDEMEANOR
Disposition: CONVICTED, 06/26/1978-FINED $10.00 AND RESTITUTION OF CHECK
Broker Comment: WHILE AT COLLEGE I HAD PAID FOR LUNCH WITH A CHECK. A LITTLE WHILE LATER I WENT HOME FOR BREAK AND CLOSED OUT MY CHECKING ACCOUNT WITHOUT REALIZING THAT THE LUNCH CHECK HAD NOT YHET CLEARED. WHEN I RETURNED TO COLLEGE I WAS NOTIFIED AND IMMEDIATELY TOOK CARE OF IT.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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