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Thomas K. Dalton

Edward Jones

Lockport, NY

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-08-11
NY RA APPROVED 2021-06-29
MO RA APPROVED 2007-09-06
  • TX RA
    APPROVED_RES
    Since 2021-08-11
  • NY RA
    APPROVED
    Since 2021-06-29
  • MO RA
    APPROVED
    Since 2007-09-06

Branch Locations

76 West Avenue, Lockport, NY 14094 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward D. Jones & Co., L.P. Lockport NY 04/1997 Present
  • 04/1997 → Present
    Edward D. Jones & Co., L.P.
    Lockport, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-05-04
S63 Uniform Securities Agent State Law Examination 1993-01-26
  • S65 Uniform Investment Adviser Law Examination
    2007-05-04
  • S63 Uniform Securities Agent State Law Examination
    1993-01-26
Designations
Other Names
  • Thomas Keith Dalton

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC
MOORS & CABOT, INC.
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OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EAGLE STRATEGIES LLC

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MARK ANDREW BURR
CHRISTOPHER HAICK

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Lockport, NY
EDWARD JONES · LOCKPORT, NY
AMERIPRISE FINANCIAL SERVICES, LLC · LOCKPORT, NY
MOORS & CABOT, INC. · LOCKPORT, NY
INDEPENDENT FINANCIAL PARTNERS · Lockport, NY
OSAIC WEALTH, INC. · LOCKPORT, NY
EDWARD JONES · LOCKPORT, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Lockpor, NY

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