Thomas M. Cantillon
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 M Cantillon, who also goes by Thomas Michael Cantillon, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 9, Series 24, Series 10, Series 23 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
July 24, 2021 - April 20, 2022
TD AMERITRADE, INC.
October 12, 2005 - April 20, 2022
CHARLES SCHWAB & CO., INC.
November 14, 2000 - October 27, 2005
SIGNATOR FINANCIAL SERVICES, INC.
November 24, 1997 - November 30, 2000
SYMETRA SECURITIES, INC.
February 3, 1997 - October 21, 1997
BNY MELLON SECURITIES CORPORATION
April 5, 1991 - December 16, 1996
CHARLES SCHWAB & CO., INC.
May 25, 1988 - December 31, 1990
CITIGROUP GLOBAL MARKETS INC.
September 5, 1986 - May 1, 1987
PRESCOTT, BALL & TURBEN, INC.
March 24, 1986 - July 24, 1986
ROOSEVELT & CROSS, INCORPORATED
June 21, 1982 - October 17, 1983
HALPERT AND COMPANY, 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: 3/29/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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
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.
