Thomas G. Mahala
Professional summary
Thomas Gerard Mahala is a registered financial professional currently at PROFOR ADVISORS located in Rye Brook, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Gerard Mahala's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2017 - Present
PROFOR ADVISORS
Office #1: 800 Westchester Ave Suite 641n, Rye Brook, NY 10573October 11, 2012 - October 23, 2017
BNP PARIBAS SECURITIES CORP.
July 8, 2009 - October 23, 2017
BNP PARIBAS PRIME BROKERAGE, INC.
July 16, 2008 - July 7, 2009
BNP PARIBAS SECURITIES CORP.
August 20, 2007 - July 24, 2008
BANC OF AMERICA SECURITIES LLC
October 23, 2001 - August 22, 2007
J.P. MORGAN CLEARING CORP.
October 23, 2001 - August 22, 2007
J.P. MORGAN SECURITIES LLC
January 26, 1998 - October 1, 1998
ACCESS SECURITIES, LLC
July 17, 1995 - January 26, 1998
NICHOLS, SAFINA, LERNER & 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
(3/22/2018)
(3/4/2021)
(11/10/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PROFOR ADVISORS
CRD#: 136084 / SEC#: , 8-66974
Contact information
FINRA licenses (30 States and Territories)
Documents
Red Flags
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