Thomas P. Anderson
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 Paul Anderson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2019 - March 15, 2022
RCM SECURITIES
January 4, 2017 - July 6, 2017
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
July 13, 2015 - July 5, 2017
WEDBUSH SECURITIES INC.
June 12, 2007 - June 24, 2015
ABN AMRO CLEARING USA LLC
August 11, 2006 - October 6, 2006
UBS CLEARING SERVICES CORPORATION
November 13, 1998 - October 4, 2006
ABN AMRO INCORPORATED
February 25, 1993 - November 6, 1998
DAIWA CAPITAL MARKETS AMERICA INC.
May 24, 1989 - May 8, 1992
ABN AMRO CLEARING USA LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
RCM SECURITIES
CRD#: 15548 / SEC#: , 8-33866
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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