TC
Thomas A. Cosmer
PINEBRIDGE SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 1719101
TC
Professional summary
Thomas Anthony Cosmer, who also goes by Tom Cosmer, is a registered financial professional currently at PINEBRIDGE SECURITIES LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Cosmer
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Anthony Cosmer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 17, 2016 - Present
PINEBRIDGE SECURITIES LLC
Office #1: 65 East 55th Street Park Avenue Tower, New York, NY 10022BD
CRD#: 5967
New York, NY
Past
December 13, 2010 - September 29, 2015
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
BOSTON, MA
Past
June 19, 1995 - August 26, 2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
January 13, 1988 - June 2, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/17/2016)
RR
Alaska(6/17/2016)
RR
Arizona(6/17/2016)
RR
Arkansas(6/17/2016)
RR
California(6/17/2016)
RR
Colorado(6/17/2016)
RR
Connecticut(6/17/2016)
RR
Delaware(6/17/2016)
RR
District of Columbia(6/17/2016)
RR
Florida(6/17/2016)
RR
Georgia(6/17/2016)
RR
Hawaii(6/17/2016)
RR
Idaho(6/17/2016)
RR
Illinois(6/17/2016)
RR
Indiana(6/17/2016)
RR
Iowa(6/17/2016)
RR
Kansas(6/17/2016)
RR
Kentucky(6/17/2016)
RR
Louisiana(6/17/2016)
RR
Maine(6/17/2016)
RR
Maryland(6/17/2016)
RR
Massachusetts(6/17/2016)
RR
Michigan(6/17/2016)
RR
Minnesota(6/17/2016)
RR
Mississippi(6/17/2016)
RR
Missouri(6/17/2016)
RR
Montana(6/17/2016)
RR
Nebraska(6/17/2016)
RR
Nevada(6/17/2016)
RR
New Hampshire(6/17/2016)
RR
New Jersey(6/17/2016)
RR
New Mexico(6/17/2016)
RR
New York(6/17/2016)
RR
North Carolina(6/18/2016)
RR
North Dakota(6/17/2016)
RR
Ohio(6/17/2016)
RR
Oklahoma(6/17/2016)
RR
Oregon(6/17/2016)
RR
Pennsylvania(6/17/2016)
RR
Puerto Rico(6/17/2016)
RR
Rhode Island(6/17/2016)
RR
South Carolina(6/17/2016)
RR
South Dakota(6/17/2016)
RR
Tennessee(6/17/2016)
RR
Texas(6/17/2016)
RR
Utah(6/17/2016)
RR
Vermont(6/17/2016)
RR
Virginia(6/17/2016)
RR
Washington(6/17/2016)
RR
West Virginia(6/17/2016)
RR
Wisconsin(6/17/2016)
RR
Wyoming(6/17/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PINEBRIDGE SECURITIES LLC
AIG EQUITY SALES CORP. | PINEBRIDGE SECURITIES LLC | AMERICAN INTERNATIONAL FUND DISTRIBUTORS, INC.
CRD#: 5967 / SEC#: , 8-16586
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Mailing Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Phone number
(646) 857-8132
Established
Delaware since 10/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
