Thomas K. Kostulas
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 Keith Kostulas was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2018 - January 4, 2019
BNY MELLON SECURITIES CORPORATION
November 25, 2015 - December 31, 2016
MSI FINANCIAL SERVICES, INC.
January 27, 2015 - April 8, 2015
ALLSTATE FINANCIAL SERVICES, LLC
August 28, 2013 - October 21, 2014
HSBC SECURITIES (USA) INC.
August 22, 2012 - July 22, 2013
PEOPLE'S SECURITIES, INC.
December 1, 2009 - August 19, 2010
DAVID LERNER ASSOCIATES, INC.
April 15, 2009 - August 6, 2009
SIGNATOR INVESTORS, INC.
March 26, 2007 - January 2, 2009
CHASE INVESTMENT SERVICES CORP.
May 3, 2004 - February 27, 2007
CHASE INVESTMENT SERVICES CORP.
March 5, 2002 - April 27, 2004
ESSEX NATIONAL SECURITIES, LLC
December 13, 2000 - February 21, 2002
CHARLES SCHWAB & CO., INC.
September 8, 2000 - November 29, 2000
CITICORP INVESTMENT SERVICES
March 22, 1999 - September 5, 2000
BNY MELLON SECURITIES CORPORATION
September 4, 1996 - March 5, 1999
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
