Thomas Borbone
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 Borbone, who also goes by Tom Borbone, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 9 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - December 31, 2017
THOMAS ASSET MANAGEMENT
May 18, 2010 - December 31, 2011
THOMAS ASSET MANAGEMENT
December 15, 2009 - March 3, 2010
SLOAN SECURITIES CORP.
January 3, 2008 - December 31, 2009
THOMAS ASSET MANAGEMENT
February 23, 2006 - December 31, 2006
THOMAS ASSET MANAGEMENT
May 20, 2005 - December 31, 2005
THOMAS ASSET MANAGEMENT
October 11, 2001 - February 18, 2010
THOMAS GROUP CAPITAL
June 10, 1996 - October 8, 2001
BEECH HILL SECURITIES, INC.
May 27, 1994 - May 23, 1996
UBS FINANCIAL SERVICES INC.
May 18, 1991 - June 10, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 1989 - February 13, 1990
GRUNTAL & CO., L.L.C.
June 27, 1989 - September 19, 1989
FINANCIAL HORIZONS SECURITIES CORPORATION
September 22, 1987 - June 21, 1989
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
THOMAS ASSET MANAGEMENT
CRD#: 117181 / SEC#: 801-61099
Contact information
Red Flags
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