Thomas O. Tabat
Professional summary
Thomas Otto Tabat 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 1982. Prior to being barred, Thomas had worked at 3 firms, which includes LEGACY FINANCIAL SERVICES INC., PRUCO SECURITIES LLC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 1998 - June 3, 1999
LEGACY FINANCIAL SERVICES, INC.
March 18, 1996 - January 22, 1998
PRUCO SECURITIES, LLC.
October 5, 1992 - March 28, 1994
PRUCO SECURITIES, LLC.
February 27, 1992 - July 8, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 27, 1992 - July 8, 1992
PRUCO SECURITIES, LLC.
March 7, 1983 - February 21, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 21, 1982 - July 8, 1992
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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