Thomas A. Amendola
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Arthur Amendola was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2009 - December 31, 2023
DOZA INVESTMENTS, LLC
December 9, 2005 - September 18, 2009
GUNNALLEN FINANCIAL, INC
December 20, 2001 - September 18, 2009
GUNNALLEN FINANCIAL, INC
February 23, 2000 - December 31, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 5, 1998 - February 16, 2000
OSAIC WEALTH, INC.
April 11, 1997 - December 2, 1998
LPL FINANCIAL LLC
November 30, 1990 - April 17, 1997
ADVEST, INC.
January 13, 1989 - December 13, 1990
LEHMAN BROTHERS INC.
August 23, 1981 - January 26, 1989
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DOZA INVESTMENTS, LLC
CRD#: 150944 / SEC#: 801-70450
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 878,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
