Thomas J. Stampfli
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 Joseph Stampfli was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2023 - June 10, 2024
PERSHING ADVISOR SOLUTIONS LLC
February 10, 2020 - June 10, 2024
PERSHING LLC
May 8, 2015 - February 12, 2020
BNY MELLON SECURITIES CORPORATION
August 2, 2013 - January 30, 2015
BARCLAYS CAPITAL INC.
July 24, 2013 - January 30, 2015
BARCLAYS CAPITAL INC.
May 24, 2011 - January 18, 2013
UBS FINANCIAL SERVICES INC.
March 28, 2011 - January 18, 2013
UBS FINANCIAL SERVICES INC.
January 14, 2011 - April 4, 2011
MORGAN STANLEY
July 21, 2010 - April 4, 2011
MORGAN STANLEY
February 14, 1985 - October 11, 1985
CITICORP SECURITIES, INC.
March 23, 1983 - October 11, 1984
BECKER PARIBAS 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
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationCurrent Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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