Thomas P. Driscoll
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 Pius Driscoll was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2018 - July 9, 2019
SECUREVEST FINANCIAL GROUP
June 1, 2009 - August 12, 2016
MORGAN STANLEY
May 8, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 19, 1992 - October 30, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
May 19, 1992 - August 12, 2016
MORGAN STANLEY & CO. LLC
October 6, 1987 - May 12, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 21, 1984 - November 24, 1987
KIDDER, PEABODY & CO. 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
Series 8
Date: 4/28/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SECUREVEST FINANCIAL GROUP
CRD#: 10100 / SEC#: , 8-26030
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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