Thomas A. Carey
Professional summary
Thomas Anthony Carey was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Thomas had worked at 17 firms, which includes TRADEWAY SECURITIES GROUP INC., CENTEX SECURITIES INCORPORATED, DEL MAR FINANCIAL SERVICES INCORPORATED, MONACO SECURITIES INC., GLOBAL CAPITAL SECURITIES CORPORATION, H.J. MEYERS & CO. INC., TRIGEM AMERSTOCK CORPORATION, DEL MAR SECURITIES INC., H.K. FREELAND & COMPANY INC., SAN MARINO SECURITIES INC., J. W. GANT & ASSOCIATES INC., FIRM ONE SECURITIES INCORPORATED, FIRST EAGLE INC., ADAMS SECURITIES INC., CENTURY FINANCIAL SECURITIES INC., BRENNAN ROSS SECURITIES INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 1996 - April 3, 1998
TRADEWAY SECURITIES GROUP, INC.
March 1, 1995 - February 13, 1996
CENTEX SECURITIES, INCORPORATED
September 26, 1994 - March 6, 1995
DEL MAR FINANCIAL SERVICES, INCORPORATED
September 8, 1994 - September 22, 1994
MONACO SECURITIES, INC.
April 4, 1994 - August 30, 1994
GLOBAL CAPITAL SECURITIES CORPORATION
February 11, 1994 - April 4, 1994
H.J. MEYERS & CO., INC.
September 17, 1993 - February 17, 1994
TRIGEM AMERSTOCK CORPORATION
September 2, 1992 - September 8, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
April 29, 1992 - September 2, 1992
DEL MAR SECURITIES, INC.
June 12, 1991 - April 21, 1992
H.J. MEYERS & CO., INC.
March 12, 1991 - June 10, 1991
H.K. FREELAND & COMPANY, INC.
June 1, 1990 - January 25, 1991
SAN MARINO SECURITIES, INC.
January 1, 1990 - May 24, 1990
J. W. GANT & ASSOCIATES, INC.
August 16, 1989 - October 28, 1989
FIRM ONE SECURITIES, INCORPORATED
June 20, 1989 - December 19, 1989
FIRST EAGLE, INC.
April 6, 1989 - June 26, 1989
ADAMS SECURITIES, INC.
November 3, 1988 - April 8, 1989
CENTURY FINANCIAL SECURITIES, INC.
February 23, 1988 - November 3, 1988
BRENNAN ROSS SECURITIES, INC.
November 25, 1987 - March 17, 1988
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TRADEWAY SECURITIES GROUP, INC.
CRD#: 29794 / SEC#: , 8-44549
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUILTINAN, FRANCIS JOSEPH | CHAIRMAN OF THE BOARD, DIRECTOR, CEO | 1389620 |
| GUILTINAN, ROBERT MICHAEL | SHAREHOLDER | 2644488 |
| MADDEN, JOHN LAURENCE | SHAREHOLDER | 867661 |
| MANGIAPANE, JOSEPH JR | SHAREHOLDER | 1700465 |
| LANDAU, DAN EVAN | REGISTERED PRINCIPAL, SHAREHOLDER | 2401574 |
| WOODRUM, GEORGE QUINTIN | CHIEF COMPLIANCE OFFICER, CFO | 2783933 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
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