Thomas J. Fasano
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 James Fasano, who also goes by Tim Fasano, Tom Fasano, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 14 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2009 - August 5, 2019
CITI ORDER ROUTING AND EXECUTION, LLC
June 24, 2008 - April 1, 2014
LAVAFLOW, INC.
December 7, 2007 - June 2, 2008
CITI ORDER ROUTING AND EXECUTION, LLC
August 18, 2006 - July 4, 2025
CITIGROUP GLOBAL MARKETS INC.
March 27, 2002 - August 21, 2006
TD WATERHOUSE CAPITAL MARKETS, INC.
May 1, 2001 - May 31, 2002
TD AMERITRADE, INC.
November 1, 1999 - May 1, 2001
ALLEGIANCE SECURITIES, L.L.C.
December 7, 1998 - November 8, 1999
GARDEN STATE SECURITIES, INC.
February 28, 1996 - November 30, 1998
TD SECURITIES (USA) LLC
April 18, 1994 - February 28, 1996
GATEWAY CAPITAL INVESTMENT GROUP INC.
February 11, 1988 - May 4, 1994
ADLER COLEMAN & CO., INC.
October 26, 1987 - November 17, 1987
HAAS SECURITIES CORPORATION
August 28, 1987 - October 12, 1987
JEFFREY CASDIN & CO. INC.
August 14, 1986 - February 26, 1987
INVEST FINANCIAL CORPORATION
April 26, 1985 - December 23, 1985
FIRST JERSEY SECURITIES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
CITI ORDER ROUTING AND EXECUTION, LLC
CRD#: 103768 / SEC#: , 8-52261
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS, INC. | OWNER | |
| ARNOLD, EDWARD RAYMOND | CHIEF COMPLIANCE OFFICER | 1876464 |
| FASANO, THOMAS JAMES | CO-PRESIDENT, GENERAL SECURITIES PRINCIPAL | 1354608 |
| GATELY, TIMOTHY HUGH | DIRECTOR | 2570328 |
| MOGILEVSKY, CHARLES ROBERT | PRINCIPAL OPERATIONS OFFICER | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | CHIEF EXECUTIVE OFFICER | 1712540 |
| SALIBA, RAMSEY | PRINCIPAL FINANCIAL OFFICER / FINOP | 5358958 |
| WINCHESTER, J SLADE | CO-PRESIDENT, OPTIONS PRINCIPAL | 1762956 |
Disclosures
| Regulatory Event | 17 |
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.
