Thomas J. Jennings
Professional summary
Thomas James Jennings is a registered financial professional currently at COMMERCE ONE FINANCIAL INC. located in Syosset, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 28, Series 14, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas James Jennings's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 1999 - Present
COMMERCE ONE FINANCIAL INC.
Office #1: 6800 Jericho Turnpike Suite 104w, Syosset, NY 11791Office #2: 6800 Jericho Turnpike Suite 104w, Syosset, NY 11791November 9, 1998 - January 14, 2000
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 7, 1996 - December 10, 1998
CONTINENTAL BROKER-DEALER CORP.
June 13, 1994 - November 11, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 11, 1992 - June 13, 1994
GRUNTAL & CO., L.L.C.
May 17, 1990 - November 12, 1992
JOSEPHTHAL & CO., INC.
February 5, 1990 - June 12, 1990
VANDERBILT SECURITIES, INC.
December 20, 1988 - February 15, 1990
J. T. MORAN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/2/2000)
(1/14/2004)
(1/31/2001)
(3/15/2000)
(1/27/2000)
(1/14/2000)
(1/13/2000)
(3/15/2000)
(3/21/2004)
(2/1/2000)
(3/15/2000)
(3/2/2004)
(3/15/2000)
(1/25/2000)
(3/3/2000)
(3/15/2000)
(3/15/2000)
(3/15/2000)
(1/31/2001)
(3/5/2004)
(1/12/2000)
(1/20/2000)
(1/14/2000)
(1/14/2000)
(5/21/2003)
(2/3/2000)
(3/22/2000)
(3/15/2000)
(1/18/2000)
(7/20/2004)
(3/21/2000)
(1/26/2004)
(12/20/1999)
(2/2/2000)
(1/13/2004)
(1/18/2000)
(1/21/2000)
(5/1/2002)
(1/21/2000)
(8/18/2005)
(3/15/2000)
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(3/16/2000)
(1/14/2000)
(3/15/2000)
(1/6/2004)
(3/17/2000)
(1/13/2000)
(3/17/2000)
(1/21/2000)
(1/6/2004)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 5/4/2025
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
COMMERCE ONE FINANCIAL INC.
CRD#: 100340 / SEC#: , 8-52032
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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