Thomas J. Fazio
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 Fazio, who also goes by Tom Fazio, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2013 - November 19, 2014
TD AMERITRADE, INC.
January 30, 2013 - November 19, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 10, 2013 - November 19, 2014
TD AMERITRADE, INC.
May 24, 2011 - January 30, 2012
MIZUHO SECURITIES USA LLC
October 16, 2009 - May 20, 2011
CANTOR FITZGERALD & CO.
August 4, 2004 - January 27, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 2003 - January 27, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2002 - April 21, 2003
JEFFERIES LLC
September 21, 1999 - January 8, 2002
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
June 7, 1999 - July 16, 1999
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 7, 1999
DB ALEX. BROWN LLC
June 11, 1991 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
November 25, 1987 - June 25, 1991
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 2/9/2010
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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