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JT

James F. Tomeo

Some features on this profile are disabled
CRD#: 1626533
JT

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.

James Francis Tomeo, who also goes by Jim F Tomeo, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1998. James had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim F Tomeo

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

January 19, 2021 - December 12, 2023

ERG SECURITIES (US) LLC

BD
CRD#: 121057
NORWALK, CT
Past

July 19, 2018 - November 1, 2019

GALLATIN CAPITAL LLC

BD
CRD#: 124738
NEW YORK, NY
Past

March 9, 2016 - August 2, 2016

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Wilton, CT
Past

August 20, 2001 - December 31, 2014

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
WILTON, CT
Past

September 22, 1998 - August 20, 2001

RXR SECURITIES INC.

BD
CRD#: 17535
STAMFORD, CT

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: 3/20/1989
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 7
Date: 9/19/1987
General Securities Representative Examination

Current Firm

ES
ERG SECURITIES (US) LLC
ASPERION GROUP LLC | ERG SECURITIES (US) LLC

CRD#: 121057 / SEC#: , 8-65376

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

Main Address
50 Washington Street Suite 921, Norwalk, CT 06854
Mailing Address
50 Washington Street Suite 921, Norwalk, CT 06854
Phone number
(646) 571-0173
Established
Delaware since 04/26/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ERG CAPITAL PARTNERS, LLCOWNER, MEMBER
GOODMAN, ROBERT MCCO, PRINCIPAL, CEO, AML OFFICER2246972
O'DOWD, GEORGE MARKPRINCIPAL2219430
RYAN, KIMBERLY ANNFINOP, PFO, POO4316310

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

ERG SECURITIES (US) LLC

CRD#: 121057

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