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Thomas J. Silberstein

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CRD#: 1558483
TS

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 John Silberstein was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 19, 2014 - October 1, 2018

WATERWAY CAPITAL LLC

BD
CRD#: 128212
NEW YORK, NY
Past

April 9, 2012 - May 20, 2013

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

April 16, 2010 - September 21, 2011

CITADEL SECURITIES LLC

BD
CRD#: 116797
NEW YORK, NY
Past

June 12, 2009 - March 11, 2010

ICP SECURITIES LLC

BD
CRD#: 133436
NEW YORK, NY
Past

November 15, 2007 - June 8, 2009

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

September 6, 2005 - September 13, 2007

COUNTRYWIDE SECURITIES CORPORATION

BD
CRD#: 10598
NEW YORK, NY
Past

April 1, 2004 - April 22, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

August 29, 2002 - April 6, 2004

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

March 10, 1995 - September 9, 2002

MORGAN STANLEY MARKET PRODUCTS INC.

BD
CRD#: 19794
NEW YORK, NY
Past

March 6, 1995 - September 9, 2002

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

October 22, 1986 - March 10, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/13/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/3/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/26/2004
General Securities Sales Supervisor - Options Module Examination

Current Firm

WC
WATERWAY CAPITAL LLC
BOSTONIA GLOBAL SECURITIES, LLC | WATERWAY CAPITAL LLC

CRD#: 128212 / SEC#: , 8-66108

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
699 Boylston Street Eighth Floor, Boston, MA 02116
Mailing Address
699 Boylston Street Eighth Floor, Boston, MA 02116
Phone number
(617) 226-8100
Established
Massachusetts since 04/25/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WATERWAY PARTNERS LLCOWNER
HOPKINS, THOMAS JOHNFINOP, POO, & PFO1835087
SARGENT, THOMAS ALLINGPRESIDENT/CEO1111329
WARD, ANA FORTESCCO3274959

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.

Company Information

WATERWAY CAPITAL LLC

CRD#: 128212

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