Thomas M. Casey
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 More Casey was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 79 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
February 27, 2017 - November 1, 2017
THREADSTONE CAPITAL, LLC
November 14, 2012 - March 26, 2014
GUGGENHEIM SECURITIES, LLC
January 30, 2003 - September 18, 2007
DEUTSCHE BANK SECURITIES INC.
November 28, 1997 - August 14, 1998
CITIGROUP GLOBAL MARKETS INC.
January 1, 1997 - August 14, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
THREADSTONE CAPITAL, LLC
CRD#: 158691 / SEC#: , 8-68915
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
