Thomas J. Cerna
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 James Cerna was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 17 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2021 - September 9, 2024
DAVID LERNER ASSOCIATES, INC.
July 25, 2011 - May 15, 2013
GLOBAL ARENA CAPITAL CORP
April 13, 2010 - April 25, 2011
BLACKBOOK CAPITAL, LLC
April 2, 2009 - June 30, 2009
EKN FINANCIAL SERVICES INC.
September 12, 2006 - November 4, 2008
BROOKVILLE CAPITAL PARTNERS
May 9, 2006 - December 31, 2006
CHARLES MORGAN SECURITIES, INC.
March 3, 2005 - February 11, 2006
BENSON YORK GROUP, INC.
November 16, 2004 - March 9, 2005
MILESTONE GROUP MANAGEMENT LLC
August 22, 2003 - June 14, 2004
TRIDENT PARTNERS LTD.
May 21, 2003 - July 14, 2003
ORMES CAPITAL MARKETS, INC.
February 25, 2002 - July 17, 2002
CLARITY SECURITIES, INC.
August 16, 2000 - February 6, 2001
THE THORNWATER COMPANY, L.P.
November 23, 1998 - May 9, 2000
THE REGENCY GROUP, INC.
October 1, 1997 - January 21, 1998
MILLENNIUM SECURITIES CORP.
June 25, 1996 - May 5, 1997
R.D. WHITE & CO., INC.
October 5, 1995 - June 19, 1996
J.W. BARCLAY & CO., INC.
March 24, 1994 - March 30, 1995
LAIDLAW GLOBAL SECURITIES, 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
Exams
Series 7TO
Date: 7/14/2021
General Securities Representative ExaminationCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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