Thomas J. Liquori
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 John Liquori was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 7 firms and has passed the 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
June 25, 2018 - April 12, 2019
WHITAKER SECURITIES LLC
June 7, 2017 - June 29, 2018
LEK SECURITIES CORPORATION
October 8, 2015 - June 1, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
October 14, 2008 - August 17, 2015
SEIDEL & CO., LLC
July 22, 2005 - October 31, 2006
REVERE SECURITIES LLC
July 23, 2001 - July 25, 2005
HAPOALIM SECURITIES USA, INC.
April 1, 1998 - June 27, 2001
HERZOG, HEINE, GEDULD, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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