Thomas P. Cote
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 Philip Cote was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 8 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2011 - April 17, 2012
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
June 16, 2010 - April 21, 2011
THE PORTOLA GROUP INC
February 13, 2009 - July 16, 2010
INFINITY FINANCIAL SERVICES
January 6, 2009 - February 11, 2009
PARIVEDA INVESTMENT MANAGEMENT
April 24, 2007 - December 1, 2008
FINANCIAL TELESIS INC
December 18, 2000 - September 26, 2006
FEDERATED SECURITIES CORP.
July 8, 1987 - May 5, 1989
GT GLOBAL, INC.
May 13, 1982 - January 29, 1987
FIDELITY DISTRIBUTORS CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
CRD#: 37466 / SEC#: , 8-47758
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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