John C. Tomeo
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.
John Charles Tomeo was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2013 - June 27, 2013
UNIFIED FINANCIAL SECURITIES, LLC
January 6, 2009 - March 12, 2010
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
May 2, 1997 - December 10, 2008
NATWEST MARKETS SECURITIES INC.
August 13, 1992 - April 11, 1997
MERRILL LYNCH GOVERNMENT SECURITIES INC.
March 20, 1990 - December 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
UNIFIED FINANCIAL SECURITIES, LLC
CRD#: 7868 / SEC#: , 8-23508
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULTIMUS FUND SOLUTIONS, LLC | OWNER | |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER | 2217795 |
Disclosures
| Regulatory Event | 4 |
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.
