Thomas J. Tyson
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 Jon Tyson, who also goes by Tom Jon Tyson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 10 firms and has passed the Series 66, Series 63, Series 3, Series 55, 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
November 5, 2004 - February 20, 2014
BTIG, LLC
September 30, 2004 - November 2, 2004
COWEN PRIME SERVICES TRADING LLC
January 1, 2003 - December 31, 2004
BLACKSTONE LLC
November 22, 2002 - December 31, 2006
HEARTWOOD CAPITAL LLC
January 8, 2002 - August 27, 2004
TERRA NOVA FINANCIAL, LLC
October 8, 2001 - February 7, 2002
SAMCO FINANCIAL SERVICES, INC.
June 15, 2000 - October 9, 2001
ALL-TECH DIRECT, INC.
February 12, 1991 - September 5, 1991
HAMBRECHT & QUIST LLC
September 27, 1989 - March 6, 1991
PACIFIC GROWTH EQUITIES, LLC
April 3, 1985 - August 3, 1999
B.J. YOUNG & COMPANY
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 55
Date: 10/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 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.
