Thomas James Fasano
Professional Summary
Thomas James Fasano, who also goes by Tom Fasano, is a registered financial advisor currently at OTC LINK LLC located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 15 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 9, Series 10 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Fasano
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
OTC LINK LLC | PINK LINK ATS LLC
Contact Information
Main Address
300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282Mailing Address
300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282Phone Number
(212) 896-4483Established
Delaware since 04/15/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 1999Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2005About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2004About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas James Fasano's CRS (Customer Relationship Summary).
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