Thomas A. Muratore
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 Anthony Muratore, who also goes by Thomas A Muratore, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2011 - September 5, 2019
TD AMERITRADE, INC.
November 17, 2011 - September 5, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 7, 2011 - September 5, 2019
TD AMERITRADE, INC.
May 27, 2008 - August 26, 2011
LPL FINANCIAL LLC
January 12, 2007 - May 27, 2008
IFMG SECURITIES, INC.
July 12, 2004 - January 9, 2007
CHASE INVESTMENT SERVICES CORP.
January 3, 2003 - June 25, 2004
CITICORP INVESTMENT SERVICES
January 12, 2001 - January 14, 2003
UBS FINANCIAL SERVICES INC.
August 3, 1993 - January 19, 2001
CITICORP INVESTMENT SERVICES
July 8, 1993 - July 24, 1993
LASALLE FINANCIAL SERVICES, INC.
July 7, 1993 - July 8, 1993
EAB SECURITIES, INC.
May 10, 1991 - May 21, 1993
MORGAN STANLEY DW INC.
November 2, 1990 - March 20, 1991
ADVEST, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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