Thomas M. Nelson
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 Matthew Nelson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 53 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
July 1, 2010 - August 10, 2015
REICH & TANG DISTRIBUTORS, INC.
July 28, 2009 - June 28, 2010
AMA SECURITIES LLC
January 3, 2006 - August 24, 2007
ICAP SECURITIES USA LLC
January 3, 2003 - December 31, 2005
SUNGARD INSTITUTIONAL BROKERAGE INC.
January 3, 2002 - December 31, 2002
NEWEDGE SECURITIES, LLC
January 11, 1989 - April 9, 1990
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, 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
Current Firm
REICH & TANG DISTRIBUTORS, INC.
CRD#: 28078 / SEC#: , 8-43429
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REICH & TANG ASSET MANAGEMENT, LLC | 100 % SHAREHOLDER | |
| BRANCAZIO, CHRISTOPHER JOHN | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING OFFICER AND SECRETARY | 2078699 |
| DESANCTIS, RICHARD | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, DIRECTOR | 2117932 |
| GILL, CHRISTOPHER J | SENIOR VICE PRESIDENT, DIRECTOR | 2464553 |
| JERKOVICH, JOSEPH | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR | 4353543 |
| LYDON, MICHAEL PETER | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1274887 |
| NELSON, THOMAS MATTHEW | PRESIDENT & CEO | 1907416 |
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.
