Thomas C. Connor
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 Charles Connor was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2012 - September 30, 2013
PIERPONT CAPITAL ADVISORS LLC
December 17, 2009 - June 14, 2017
SANTANDER US CAPITAL MARKETS LLC
November 30, 2004 - July 13, 2007
BANC OF AMERICA SECURITIES LLC
January 23, 2001 - October 27, 2004
J.P. MORGAN SECURITIES INC.
August 8, 1986 - May 1, 2001
JPMSI
May 20, 1982 - October 16, 1984
BECKER PARIBAS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 9/30/1982
Interest Rate Options ExaminationCurrent Firm
PIERPONT CAPITAL ADVISORS LLC
CRD#: 108424 / SEC#: , 8-53078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIERPONT CAPITAL ADVISORS INC | 100% 0WNER | |
| BLAUVELT, JOSEPH PATRICK | MEMBER BOARD OF MANAGERS; FINOP | 1799557 |
| CONNOR, THOMAS CHARLES | MEMBER BOARD OF MANAGERS | 1047477 |
| FENSKE, BRUCE EDWARD | C0-CHIEF COMPLIANCE OFFICER | 1469564 |
| HEBERT, VALERIE ODETTE | CO-CHIEF COMPLIANCE OFFICER | 4007252 |
| MILLET, TIMOTHY KELLEY | CEO | 2025087 |
| WERNER, MARK BLACK | CHAIRMAN MEMBER BOARD OF MANAGERS | 730268 |
Red Flags
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