Thomas J. Carmody
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 J Carmody, who also goes by Thomas J Carmody III, Thomas Joseph Carmody III, Thomas Joseph Carmody, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 52, Series 24, Series 4, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2014 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
August 18, 2010 - December 21, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 18, 2010 - December 21, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 29, 2010 - July 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2010 - July 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2008 - April 20, 2009
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
August 16, 2006 - January 1, 2008
RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS
February 6, 2006 - August 16, 2006
RUSSELL INVESTMENTS
October 15, 2003 - August 16, 2006
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
June 12, 2003 - October 23, 2003
MIDSOUTH CAPITAL, INC.
June 9, 2003 - October 23, 2003
MIDSOUTH CAPITAL, INC.
September 17, 2001 - April 9, 2003
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
July 25, 2001 - April 9, 2003
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
October 14, 1997 - July 20, 2001
CHARLES SCHWAB & CO., INC.
April 9, 1987 - July 16, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
August 28, 1986 - January 29, 1987
BANCTEXAS SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/16/2022
General Securities Representative ExaminationSeries 52TO
Date: 7/16/2022
Municipal Securities Representative ExaminationSeries 8
Date: 4/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TEACHERS PERSONAL INVESTORS SERVICES, INC.
CRD#: 36130 / SEC#: , 8-47051
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIAA-CREF ASSET MANAGEMENT LLC | SHAREHOLDER | |
| LEE, CHRISTY ROSS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4926666 |
| LEE, CHRISTY ROSS | CHIEF FINANCIAL OFFICER | 4926666 |
| PIERRE-MERRITT, MARJORIE | CORPORATE SECRETARY | 5308970 |
| RAUSCHENBACH, KEITH HENRY | PRESIDENT, COO & DIRECTOR | 1719526 |
| SMITH, SHANITA SPIVEY | CHIEF COMPLIANCE OFFICER | 5174146 |
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.
