Thomas G. Pinou
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 George Pinou was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 19 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2024 - March 17, 2026
ABRAHAM SECURITIES CORPORATION
July 12, 2022 - December 9, 2024
SAN BLAS SECURITIES LLC
January 7, 2020 - August 9, 2023
SCOTTSDALE CAPITAL ADVISORS CORP
May 30, 2018 - February 15, 2019
MOUNTAIN RIVER SECURITIES, INC.
April 23, 2018 - November 12, 2018
DEFILIPPO CAPITALE PARTNERS LLC
March 30, 2015 - April 25, 2018
AEON CAPITAL INC
February 5, 2014 - January 29, 2016
M BARC INVESTMENT GROUP, INC.
April 16, 2013 - August 2, 2016
H.C.WAINWRIGHT & CO., LLC
July 30, 2012 - June 21, 2013
FOUR POINTS CAPITAL PARTNERS LLC
June 27, 2012 - May 22, 2013
JOHN THOMAS FINANCIAL
June 7, 2010 - September 11, 2014
HALCYON CABOT PARTNERS, LTD.
October 28, 2004 - July 3, 2006
PRIM SECURITIES, INCORPORATED
April 1, 2003 - April 23, 2004
ARJENT LTD.
December 18, 2001 - March 20, 2006
CERIDIAN BROKER DEALER, INC.
March 22, 2000 - January 3, 2005
SYNERGY CAPITAL I, LLC
December 1, 1998 - August 16, 2011
RODMAN & RENSHAW, LLC
December 10, 1996 - March 17, 1998
RODMAN & RENSHAW INC.
November 20, 1986 - December 10, 1987
CITIGROUP GLOBAL MARKETS INC.
December 19, 1984 - April 8, 1985
CRALIN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ABRAHAM SECURITIES CORPORATION
CRD#: 13498 / SEC#: , 8-29452
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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