Thomas L. Di Galoma

MISCHLER FINANCIAL GROUP

Stamford, CT 06902

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CRD#: 1498441

Professional summary

Thomas Lawrence Di Galoma, who also goes by Thomas L Digaloma, Thomas Lawrence Digaloma, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Stamford, Connecticut.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 17 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas L Digaloma | Thomas Lawrence Digaloma

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 Lawrence Di Galoma'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

February 19, 2025 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: Harbor Landing 46 Southfield Avenue, Suite 200, Stamford, CT 06902

CRD#: 37818

Stamford, CT

Past

July 16, 2024 - February 3, 2025

CURVATURE SECURITIES LLC

CRD#: 169708

CHATHAM, NJ

Past

November 21, 2022 - June 17, 2024

BTIG, LLC

CRD#: 122225

New York, NY

Past

March 14, 2016 - November 21, 2022

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

GREENWICH, CT

Past

May 2, 2013 - February 9, 2016

MAREX CAPITAL MARKETS INC.

CRD#: 161014

NEW YORK, NY

Past

February 23, 2012 - April 12, 2013

NAVIGATE ADVISORS

CRD#: 128143

STAMFORD, CT

Past

June 22, 2011 - January 4, 2012

SANTANDER US CAPITAL MARKETS LLC

CRD#: 150696

NEW YORK, NY

Past

May 2, 2011 - June 7, 2011

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

March 17, 2009 - May 5, 2011

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

October 17, 2003 - November 1, 2004

BONDS DIRECT SECURITIES LLC

CRD#: 112297

NEW YORK, NY

Past

October 16, 2003 - March 20, 2009

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

August 20, 2002 - October 27, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

March 1, 2001 - October 27, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 28, 1999 - March 1, 2001

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

February 13, 1998 - June 3, 1999

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

October 15, 1990 - December 18, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 2, 1988 - October 9, 1990

YAMAICHI INTERNATIONAL (AMERICA) INC.

CRD#: 909

NEW YORK, NY

Past

September 24, 1986 - January 26, 1988

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

State Registrations and Notice Filings

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

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

California
(2/19/2025)

Connecticut
(2/19/2025)

New York
(2/19/2025)

Utah
(2/19/2025)

Exams

State Security Law Exam

Series 63

Date: 9/11/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/26/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/3/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Mailing Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Phone number

(949) 720-0640

Established

California since 11/22/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CHAMBERLAIN, DEAN ARTHUR	CHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN	2262338
HOLMES, DOYLE LAVERN	PRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR	1556260
GTS FINANCIAL LLC	OWNER

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas L. Di Galoma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Lawrence Di Galoma's CRS (Customer Relationship Summary).

Certified licenses

Experience

CURVATURE SECURITIES LLC

BTIG, LLC

SEAPORT GLOBAL SECURITIES LLC

MAREX CAPITAL MARKETS INC.

NAVIGATE ADVISORS

SANTANDER US CAPITAL MARKETS LLC

OPPENHEIMER & CO. INC.

GUGGENHEIM SECURITIES, LLC

BONDS DIRECT SECURITIES LLC

JEFFERIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BNP PARIBAS SECURITIES CORP.

B. C. ZIEGLER AND COMPANY

CITIGROUP GLOBAL MARKETS INC.

YAMAICHI INTERNATIONAL (AMERICA) INC.

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/1986

SIE

Date: 10/1/2018

Series 3

Date: 3/26/1987

Series 7

Date: 5/17/1986

Series 24

Date: 8/3/1998

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MISCHLER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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