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Thomas Eric Stine

Thomas Eric Stine

Description

Thomas Stine a financial professional at Hoxton Financial, Inc., a $249M dollar RIA based in Shepherdstown, WV. Thomas has held an industry securities registration for 7 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Thomas Eric Stine has not answered any questions on Financial Q&A.

Top Guides

Thomas Eric Stine has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
High Net Worth Individuals
Individuals
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Hoxton Financial, Inc. 3 years, 1 month Apr 2010 - Present
Ww Grainger, Inc. 1 year, 11 months Jan 2007 - Dec 2008
Pdi Inc. 3 years, 4 months Sep 2003 - Jan 2007
Heartland Payment Systems 6 months Mar 2003 - Sep 2003
Wachovia Bank,N.A. 9 months Jun 2002 - Mar 2003
Wacovia Securities, Inc.-Isg 9 months Jun 2002 - Mar 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 10/04/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
10/04/2011
10/10/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 05/10/2010
Uniform Securities Agent State Law Examination Series 63 04/08/2002
Investment Company Products/Variable Contracts Representative Examination Series 6 03/04/2002

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees