Thomas J. Emig
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 Joseph Emig, who also goes by Thomas J Emig, Tom Emig, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2012. Thomas had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 99 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2016 - October 3, 2016
PRESIDIO CAPITAL ADVISORS LLC
September 24, 2012 - October 6, 2016
PRESIDIO MERCHANT PARTNERS LLC
State Registrations and Notice Filings
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Exams
Series 28
Date: 7/29/2013
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PRESIDIO CAPITAL ADVISORS LLC
CRD#: 108531 / SEC#: 801-55261
Contact information
Red Flags
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