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TD

Thomas P. Darby

PAYCHEX SECURITIES
Rochester, NY 14623
Some features on this profile are disabled
CRD#: 1418961
TD

Professional summary

Thomas Patrick Darby is a registered financial professional currently at PAYCHEX SECURITIES CORPORATION located in Rochester, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Patrick Darby's CRS (Customer Relationship Summary).
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

February 21, 2003 - Present

PAYCHEX SECURITIES CORPORATION

Office #1: 220 Kenneth Drive, Rochester, NY 14623
BD
CRD#: 39733
Rochester, NY
Past

May 2, 1997 - March 12, 1999

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

December 21, 1993 - November 7, 1996

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

February 22, 1988 - December 31, 1991

GOLDK INVESTMENT SERVICES, INC

BD
CRD#: 15514
BOSTON, MA
Past

October 24, 1986 - February 2, 1988

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
Past

October 23, 1985 - July 7, 1986

MICHAEL C. TALLEY & CO., INC.

BD
CRD#: 8679

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(4/15/2003)

Exams

State Security Law Exam
RR
Series 63
Date: 11/5/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PAYCHEX SECURITIES CORPORATION
PAYCHEX SECURITIES CORPORATION

CRD#: 39733 / SEC#: , 8-48942

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

Main Address
220 Kenneth Drive, Rochester, NY 14623
Mailing Address
220 Kenneth Drive, Rochester, NY 14623
Phone number
(585) 336-6545
Established
New York since 07/17/1995
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PAYCHEX HOLDINGS, LLCPARENT CORP
SCHRADER, ROBERT LEWISDIRECTOR7827962
SIMMONS, CHRISTOPHER CARLTREASURER7621466
WILEY, CHRISTINE LEEPRESIDENT3108303
WILEY, CHRISTINE LEECHIEF COMPLIANCE OFFICER3108303

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.

Company Information

PAYCHEX SECURITIES CORPORATION

CRD#: 39733Rochester, NY 14623

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