Thomas E. Cournoyer
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 Edward Cournoyer was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 4 firms and has passed the Series 63, Series 6, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2011 - December 31, 2012
PALMETTO ADVISORY GROUP, LLC
March 29, 2011 - October 17, 2011
NEW ENGLAND SECURITIES
May 18, 1987 - March 6, 2009
CAPITAL CLIENT GROUP, INC.
March 12, 1987 - April 7, 1987
NEW ENGLAND SECURITIES
March 20, 1984 - September 16, 1985
U. S. CAPITAL SECURITIES, INC.
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
PALMETTO ADVISORY GROUP, LLC
CRD#: 150270 / SEC#: , 8-68240
Contact information
FINRA licenses (7 States and Territories)
Documents
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.
