Thomas P. Pistole
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 Pistole Sr, who also goes by Thomas Paul Pistole Sr,, Thomas Paul Pistole, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2022 - October 3, 2023
PURSHE KAPLAN STERLING INVESTMENTS
December 22, 2021 - February 2, 2022
THE LEADERS GROUP, INC.
July 27, 2018 - December 31, 2019
THE LEADERS GROUP, INC.
July 12, 2013 - August 1, 2016
RIVERSOURCE DISTRIBUTORS, INC.
November 5, 2012 - June 14, 2013
DESTRA CAPITAL INVESTMENTS LLC
July 1, 2010 - November 16, 2010
VIANT CAPITAL LLC
June 21, 2007 - August 26, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 29, 2003 - May 15, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
May 8, 1998 - September 2, 2003
PACIFIC SELECT DISTRIBUTORS, LLC
March 1, 1996 - March 29, 1996
MML INVESTORS SERVICES, LLC
May 18, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
February 5, 1994 - April 10, 1995
NYLIFE SECURITIES LLC
March 15, 1993 - January 18, 1994
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 3, 1989 - January 12, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 3, 1989 - January 12, 1993
EQUITABLE ADVISORS, 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
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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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