Thomas B. Cooper
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 Benjamin Cooper was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1986. Thomas had worked at 6 firms and has passed the Series 65, 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
December 4, 2008 - September 1, 2010
STOCKCROSS FINANCIAL SERVICES, INC.
August 5, 2005 - September 1, 2010
STOCKCROSS FINANCIAL SERVICES, INC.
September 17, 2003 - August 16, 2005
TD AMERITRADE, INC.
November 7, 1997 - August 16, 2005
TD AMERITRADE, INC.
February 5, 1988 - November 7, 1997
KENNEDY, CABOT & CO.
April 30, 1987 - December 15, 1987
PRINCIPAL SECURITIES, INC.
April 10, 1987 - April 27, 1987
VALUE EQUITIES CORPORATION
July 23, 1986 - May 5, 1987
AMERICAN HERITAGE SECURITIES CORPORATION
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
STOCKCROSS FINANCIAL SERVICES, INC.
CRD#: 6670 / SEC#: 801-69705, 8-17758
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GEBBIA, JOHN MICHAEL | DIRECTOR, EVP | 1866455 |
| GEBBIA, RICHARD SAL | CEO, PRESIDENT, DIRECTOR | 2348552 |
| MURIEL SIEBERT & CO., INC. | OWNER | 5376 |
| COLOMBINO, MICHAEL JONATHAN | CFO; TREASURER | 4871852 |
| DIPIPPO, ALBERT FRANCIS | ROSFP | 726636 |
| LOGUE, DANIEL PATRICK | CHIEF COMPLIANCE OFFICER; AMLCO | 1501135 |
| SCHEBECE, GREGORY CHARLES | EXECUTIVE VICE PRESIDENT, COO | 1498632 |
| SHANKMAN, CRAIG MICHAEL | DIRECTOR OF TECHNOLOGY | |
| TASSELL, MATTHEW ERIC | DIRECTOR OF CORPORATE SERVICES | |
| ZABATTA, CHARLES ANTHONY SR | OWNER |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 2 |
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.
