Thomas M. Tiernan
Professional summary
Thomas Michael Tiernan JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Thomas had worked at 6 firms, which includes CONTINENTAL BROKER-DEALER CORP., SOUTH RICHMOND SECURITIES INC., VANDERBILT SECURITIES INC., J. T. MORAN & CO. INC., SHERWOOD CAPITAL INC., FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 1993 - September 9, 2003
CONTINENTAL BROKER-DEALER CORP.
May 30, 1990 - February 23, 1993
SOUTH RICHMOND SECURITIES, INC.
February 9, 1990 - June 12, 1990
VANDERBILT SECURITIES, INC.
January 25, 1990 - June 12, 1990
VANDERBILT SECURITIES, INC.
May 20, 1988 - February 15, 1990
J. T. MORAN & CO., INC.
February 2, 1987 - May 23, 1988
SHERWOOD CAPITAL, INC.
October 31, 1981 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 3/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
Red Flags
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