Jeffrey J. Podesta
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.
Jeffrey John Podesta was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 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, 2009 - November 10, 2009
THOMAS GROUP CAPITAL
February 23, 2005 - March 9, 2006
THOMAS GROUP CAPITAL
August 8, 2003 - April 15, 2004
RIVERSTONE WEALTH MANAGEMENT, INC.
February 12, 1991 - February 22, 1994
TUCKER ANTHONY INCORPORATED
January 2, 1990 - February 12, 1991
PRUDENTIAL EQUITY GROUP, LLC
April 27, 1987 - December 19, 1989
CITIGROUP GLOBAL MARKETS INC.
June 29, 1982 - April 27, 1987
KIDDER, PEABODY & CO. INCORPORATED
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
Current Firm
THOMAS GROUP CAPITAL
CRD#: 112901 / SEC#: , 8-53273
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMAS GROUP CAPITAL, LLC | DIRECT OWNER | |
| BORBONE, THOMAS | PRESIDENT/CEO/CCO | 1713376 |
Disclosures
| Regulatory Event | 5 |
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.
