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TP

Thomas F. Plaut

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CRD#: 1339785
TP

Professional summary

Thomas Frederick Plaut was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Thomas had worked at 3 firms, which includes ALGOPARTNERS LLC, LIGHTSPEED TRADING LLC, BEVILL BRESLER & SCHULMAN INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 8, 2011 - December 10, 2014

ALGOPARTNERS, LLC

BD
CRD#: 156693
WOODCLIFF LAKE, NJ
Past

October 22, 2004 - January 3, 2007

LIGHTSPEED TRADING, LLC

BD
CRD#: 131703
HOBOKEN, NJ
Past

April 26, 1985 - April 10, 1985

BEVILL, BRESLER & SCHULMAN INCORPORATED

BD
CRD#: 6971

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/3/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/10/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/6/2010
General Securities Principal Examination

Current Firm

AL
ALGOPARTNERS, LLC
ALGOPARTNERS, LLC

CRD#: 156693 / SEC#: , 8-68816

BD
Terminated by SEC on 12/13/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/17/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALGOPARTNERS HOLDINGS, LLCMEMBER
BERNSTEIN, BARRY OCHIEF COMPLIANCE OFFICER AND COO4307985
DEMBRO, ARTHUR J IIIFINOP4964260
LIVA, EDWARD IIILEGAL COUNSEL4918122
PLAUT, THOMAS FREDERICKCHAIRMAN AND CEO

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.

Company Information

ALGOPARTNERS, LLC

CRD#: 156693

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