Thomas E. Foti
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 Edward Foti, who also goes by Thomas E Foti, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2000 - February 6, 2001
THE THORNWATER COMPANY, L.P.
June 1, 2000 - June 16, 2000
WEATHERLY SECURITIES CORPORATION
December 9, 1999 - May 3, 2000
BISHOP, ROSEN & CO., INC.
December 10, 1998 - October 22, 1999
BARRON CHASE SECURITIES, INC.
November 5, 1997 - November 11, 1998
LLOYD WADE SECURITIES INC.
June 10, 1996 - June 4, 1997
L.B. SAKS, INC.
March 27, 1995 - April 29, 1996
JOSEPHTHAL & CO., INC.
May 12, 1994 - March 22, 1995
JOSEPH STEVENS & CO., INC.
April 1, 1992 - May 9, 1994
A.S. GOLDMEN & CO., INC.
December 10, 1991 - March 9, 1992
PARAGON CAPITAL MARKETS, INC.
July 23, 1991 - December 14, 1991
JOSEPHTHAL & CO., INC.
June 4, 1991 - August 15, 1991
D. H. BLAIR & CO., INC.
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
Current Firm
THE THORNWATER COMPANY, L.P.
CRD#: 36195 / SEC#: , 8-47178
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 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.
