Tom W. Piche
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.
Tom Wallace Piche was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1981. Tom had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2005 - December 6, 2018
NEXT FINANCIAL GROUP, INC.
September 13, 2005 - December 6, 2018
NEXT FINANCIAL GROUP, INC.
May 16, 2005 - August 31, 2005
AMERIFINANCIAL
January 29, 2001 - May 12, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 29, 2001 - May 12, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 2, 1997 - January 10, 2001
FISERV INVESTOR SERVICES, INC.
January 15, 1996 - January 2, 1997
TRADESTAR INVESTMENTS,INC.
May 8, 1992 - November 27, 1995
UBS FINANCIAL SERVICES INC.
July 6, 1987 - May 19, 1992
CIBC WORLD MARKETS CORP.
August 15, 1984 - July 13, 1987
ROBERT W. BAIRD & CO. INCORPORATED
July 25, 1983 - August 8, 1984
CITIGROUP GLOBAL MARKETS INC.
March 19, 1982 - July 1, 1983
MOSELEY SECURITIES CORPORATION
November 11, 1981 - March 22, 1982
FIRST JERSEY SECURITIES, 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
Series 8
Date: 9/16/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
