Timothy J. Thomas
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.
Timothy J. Thomas, who also goes by Timothy J Thomas, Timothy John Thomas, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1988. Timothy had worked at 8 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 87, Series 7, Series 53, Series 4, Series 9, Series 10, Series 24 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2021 - July 17, 2026
NATIONAL FINANCIAL SERVICES LLC
March 29, 2006 - October 1, 2016
J.P. MORGAN CLEARING CORP.
March 29, 2006 - May 4, 2021
J.P. MORGAN SECURITIES LLC
August 27, 1998 - March 17, 2006
KAUFMAN BROS., L.P.
October 27, 1997 - July 15, 1998
MONTROSE CAPITAL MANAGEMENT LTD.
February 28, 1996 - May 12, 1997
AMERICORP SECURITIES, INC.
July 31, 1993 - February 12, 1996
CITIGROUP GLOBAL MARKETS INC.
December 20, 1988 - July 31, 1993
LEHMAN BROTHERS 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
Exams
Series 79TO
Date: 11/15/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 11/15/2023
Municipal Securities Representative ExaminationSeries 8
Date: 2/21/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
