Thomas J. Dalton
Professional summary
Thomas John Dalton was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Thomas had worked at 7 firms, which includes ON-SITE TRADING INC., FIRST METROPOLITAN SECURITIES INC., SHAMUS GROUP INC., LT LAWRENCE & CO. INC., GKN SECURITIES CORP., MINELLA RICH & CO. INC., DEUTSCHE IXE LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 1998 - March 1, 1999
ON-SITE TRADING, INC.
January 12, 1998 - January 27, 1998
FIRST METROPOLITAN SECURITIES, INC.
February 19, 1997 - October 31, 1997
SHAMUS GROUP, INC.
May 5, 1994 - January 13, 1997
LT LAWRENCE & CO., INC.
June 23, 1993 - January 1, 1994
GKN SECURITIES CORP.
March 8, 1989 - July 29, 1989
MINELLA, RICH & CO., INC.
December 17, 1985 - January 9, 1989
DEUTSCHE IXE, 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
ON-SITE TRADING, INC.
CRD#: 30271 / SEC#: , 8-47104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ON-SITE ENERGY SYSTEMS, INC. | SHAREHOLDER | |
| STIEVELMAN, JACK | SHAREHOLDER | 2571504 |
| MEDNICK, GARY DAVID | PRESIDENT-CEO | 735786 |
| LIPSKY, ROBERT MARK | SHAREHOLDER | 2111939 |
| BASKIND, ROBERT P | SHAREHOLDER | |
| BERGLEITNER, GEORGE CHARLES III | SROP/CROP | 1247338 |
| BOCCIO, FRANK LOUIS | CFO | 24461 |
| JAHRE, HOWARD GORDON | CHAIRMAN | 2238671 |
| NWAIGWE, LINUS NKEM | CHEIF COMPLIANCE OFFICER | 2613032 |
| STONE, ARTHUR | COMPLIANCE OFFICER | 437238 |
Disclosures
| Regulatory Event | 3 |
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