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JT

John R. Tamburrino

Some features on this profile are disabled
CRD#: 1896150
JT

Professional summary

John Richard Tamburrino was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, John had worked at 5 firms, which includes THOMAS GROUP CAPITAL, FIRST MONTAUK SECURITIES CORP., DONALD & CO. SECURITIES INC., H.J. MEYERS & CO. INC., HIBBARD BROWN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 15, 2003 - July 29, 2005

THOMAS GROUP CAPITAL

BD
CRD#: 112901
ATLANTA, GA
Past

July 9, 1997 - August 12, 2003

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

July 6, 1992 - July 3, 1997

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

November 14, 1990 - July 13, 1992

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

January 24, 1989 - November 24, 1990

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/8/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/24/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/2/1991
General Securities Principal Examination

Current Firm

TG
THOMAS GROUP CAPITAL
THOMAS GROUP CAPITAL | THOMAS SECURITIES, LLC

CRD#: 112901 / SEC#: , 8-53273

BD
Terminated by SEC on 04/19/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THOMAS GROUP CAPITAL, LLCDIRECT OWNER
BORBONE, THOMASPRESIDENT/CEO/CCO1713376

Disclosures

Regulatory Event5

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.

Company Information

THOMAS GROUP CAPITAL

CRD#: 112901

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