Thomas J. Lally
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 James Lally was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2010 - October 7, 2014
LADDER CAPITAL SECURITIES LLC
June 23, 1997 - June 6, 2006
UBS SECURITIES LLC
February 21, 1997 - June 26, 1997
GREYSTONE CAPITAL HOLDINGS CORPORATION
March 19, 1991 - April 28, 1994
DAIWA CAPITAL MARKETS AMERICA INC.
February 15, 1989 - February 13, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 1983 - February 15, 1989
CREDIT SUISSE SECURITIES (USA) LLC
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
LADDER CAPITAL SECURITIES LLC
CRD#: 151403 / SEC#: , 8-68368
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
