Thomas M. Tierney
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 Michael Tierney JR, who also goes by Thomas Michael Tierney, Thomas Tierney, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7 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 2, 2003 - June 8, 2016
SCOTTRADE, INC.
November 5, 1999 - October 22, 2002
SCHONFELD SECURITIES, LLC
October 8, 1997 - June 15, 1999
ABEL/NOSER CORP.
December 23, 1996 - August 19, 1997
COWEN SECURITIES LLC
August 1, 1996 - August 27, 1996
FIRST WESTCHESTER SECURITIES
July 31, 1996 - October 31, 1997
BG CAPITAL, INC.
February 20, 1991 - June 18, 1991
BOWLING GREEN CAPITAL, LLC
February 6, 1991 - February 14, 1991
TD AMERITRADE, INC.
August 8, 1989 - September 28, 1990
LABRANCHE FINANCIAL SERVICES, LLC
September 22, 1987 - September 21, 1988
TP ICAP GLOBAL MARKETS AMERICAS LLC
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 55
Date: 4/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 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.
