Thomas C. Sanders

PENSERRA SECURITIES

New York, NY 10018

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CRD#: 1197876

Professional summary

Thomas Charles Sanders JR is a registered financial professional currently at PENSERRA SECURITIES, LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Charles Sanders JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 11, 2008 - Present

PENSERRA SECURITIES, LLC

Office #1: 530 Seventh Ave Suite 2802, New York, NY 10018

CRD#: 145994

New York, NY

Past

September 10, 2007 - January 3, 2012

ROSENBLATT SECURITIES INC.

CRD#: 18377

NEW YORK, NY

Past

February 20, 2007 - September 12, 2007

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

CLAYTON, MO

Past

February 9, 1998 - March 24, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

December 14, 1995 - April 9, 1998

NATWEST SECURITIES CORPORATION

CRD#: 18238

NEW YORK, NY

Past

October 9, 1986 - July 27, 1995

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 27, 1985 - June 23, 1986

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

Past

August 21, 1984 - February 8, 1985

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(7/11/2008)

Exams

State Security Law Exam

Series 63

Date: 3/20/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/11/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/19/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/17/2012

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

PENSERRA SECURITIES, LLC

PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Phone number

(646) 459-0581

Established

New York since 02/27/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PENSERRA FINANCIAL VENTURES LLC	HOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMN	COO	4409925
GEIGER, LEE WILSON	FINOP	1552293
JOSEPH, ELOIS L'KEKSHA	CCO	5449352
MADRIGAL, JORGE NMN	PRESIDENT & CEO / MEMBER	3204950

Red Flags

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Firm Stability Insights

Thomas C. Sanders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Charles Sanders JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSENBLATT SECURITIES INC.

B. RILEY WEALTH MANAGEMENT

BANC OF AMERICA SECURITIES LLC

NATWEST SECURITIES CORPORATION

UBS SECURITIES LLC

KEYBANC CAPITAL MARKETS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 3/20/2007

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 5/11/2007

Series 7

Date: 2/19/2007

Series 24

Date: 5/17/2012

FINRA

Nasdaq Stock Market

Current Firm

PENSERRA SECURITIES, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PENSERRA SECURITIES, LLC

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