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TF

Thomas J. Fasano

OTC LINK
NEW YORK, NY 10282
CRD#: 1354608
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TF
Thomas James FasanoOTC LINK

Professional summary

Thomas James Fasano, who also goes by Tom Fasano, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Fasano

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) - BD

Click below to view Thomas James Fasano's CRS (Customer Relationship Summary).

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

Current

June 24, 2026 - Present

OTC LINK LLC

Office #1: 300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282
BD
CRD#: 153944
NEW YORK, NY
Past

January 27, 2009 - August 5, 2019

CITI ORDER ROUTING AND EXECUTION, LLC

BD
CRD#: 103768
MOUNT PLEASANT, SC
Past

June 24, 2008 - April 1, 2014

LAVAFLOW, INC.

BD
CRD#: 120444
NEW YORK, NY
Past

December 7, 2007 - June 2, 2008

CITI ORDER ROUTING AND EXECUTION, LLC

BD
CRD#: 103768
MT. PLEASANT, SC
Past

August 18, 2006 - July 4, 2025

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MOUNT PLEASANT, SC
Past

March 27, 2002 - August 21, 2006

TD WATERHOUSE CAPITAL MARKETS, INC.

BD
CRD#: 116757
BELLEVUE, NE
Past

May 1, 2001 - May 31, 2002

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

November 1, 1999 - May 1, 2001

ALLEGIANCE SECURITIES, L.L.C.

BD
CRD#: 47935
JERSEY CITY, NJ
Past

December 7, 1998 - November 8, 1999

GARDEN STATE SECURITIES, INC.

BD
CRD#: 10083
RED BANK, NJ
Past

February 28, 1996 - November 30, 1998

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

April 18, 1994 - February 28, 1996

GATEWAY CAPITAL INVESTMENT GROUP INC.

BD
CRD#: 35999
JERSEY CITY, NJ
Past

February 11, 1988 - May 4, 1994

ADLER COLEMAN & CO., INC.

BD
CRD#: 16104
NEW YORK, NY
Past

October 26, 1987 - November 17, 1987

HAAS SECURITIES CORPORATION

BD
CRD#: 2104
Past

August 28, 1987 - October 12, 1987

JEFFREY CASDIN & CO. INC.

BD
CRD#: 17725
Past

August 14, 1986 - February 26, 1987

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
Past

April 26, 1985 - December 23, 1985

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

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: 5/8/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/18/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/22/2019
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/22/2005
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/9/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/27/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OL
OTC LINK LLC
OTC LINK LLC | PINK LINK ATS LLC

CRD#: 153944 / SEC#: , 8-68596

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282
Mailing Address
300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282
Phone number
(212) 896-4483
Established
Delaware since 04/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
OTC MARKETS GROUP INC.OWNER, MEMBER
JIN, YONGXIANGFINOP6096866
MELLON, JOHN FRANCISCCO4167767
MODESKI, MICHAEL RICHARDPRESIDENT2642602

Disclosures

Regulatory Event1

Red Flags

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Company Information

OTC LINK LLC

CRD#: 153944New York, NY 10282

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