Thomas A. Saunders
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 Alfred Saunders, who also goes by Thomas A Saunders, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2001 - February 9, 2006
JOSEPH GRACE
November 10, 1995 - August 26, 2005
GARNET FUND L.P.
February 14, 1994 - June 1, 1994
CONSTELLATION CONVERTIBLES LIMITED
December 19, 1989 - October 25, 1994
ROMAN TRADING PARTNERS, L.P.
November 11, 1988 - July 19, 1994
NEW WINDSOR ASSOCIATES, L.P.
March 1, 1988 - January 30, 1989
MANKO COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPH GRACE
CRD#: 103580 / SEC#: , 8-52203
Contact information
FINRA licenses (35 States and Territories)
Disclosures
| Regulatory 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.
