Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 20, 2018 indicate that Tennessee-based Securities America broker/adviser Thomas Wormsley has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wormsley (CRD# 4976680).
Thomas Wormsley has spent twelve years in the securities industry and has been registered with Securities America in Knoxville, Tennessee since 2014. Previous registrations include Questar Capital Corporation in Knoxville, Tennessee (2012-2014); ING Financial Partners in Knoxville, Tennessee (2008-2012); and Thrivent Investment Management in Knoxville, Tennessee (2005-2008). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 6, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 10, 2005; Series 7 (General Securities Representative Examination), which he obtained on December 23, 2008; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 29, 2005. He is a registered broker and investment adviser with seven US states and territories: Florida, Indiana, Maryland, Missouri, Tennessee, Texas, and West Virginia.
According to his BrokerCheck report, he has received one pending customer complaint.
In February 2018 a customer alleged Thomas Wormsley, while employed at Securities America, participated in the creation of an investment strategy that included a private placement LLC which had been misrepresented by another representative. The customer is seeking $215,000 in damages in the pending complaint
If you or someone you know has lost money investing with Thomas Wormsley, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.