Drawing from more than 30 years of experience in the financial services industry, Harold Thomas offers common sense solutions for broker/dealers and financial institutions.

The Harold Thomas Group provides the following services:

  • Consulting services for FINRA registered firms and Bank Broker/Dealers
  • Expert testimony
  • AML Reviews and Testing

 

Harold Thomas has passed examinations for the following licenses:

  • 7
  • 24
  • 63
  • 65
  • 52
  • 53