Thomas A. Washall
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 Anthony Washall JR, who also goes by Tom Washall, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2013 - July 7, 2021
M&T SECURITIES, INC.
March 23, 2009 - May 3, 2013
BOENNING & SCATTERGOOD, INC.
March 13, 2009 - April 15, 2009
RBC CAPITAL MARKETS, LLC
July 7, 1998 - March 13, 2009
FERRIS, BAKER WATTS, LLC
April 2, 1996 - July 28, 1998
STARBOARD CAPITAL MARKETS, LLC
February 26, 1993 - February 26, 1996
ALEX. BROWN & SONS INCORPORATED
February 11, 1992 - February 26, 1993
A. WEBSTER DOUGHERTY & CO., INCORPORATED
July 16, 1991 - February 18, 1992
SCHRODER & CO. INC.
February 10, 1988 - July 23, 1991
A. WEBSTER DOUGHERTY & CO., INCORPORATED
November 19, 1985 - November 16, 1987
ALEX. BROWN & SONS 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
Current Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
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.
