Thomas A. Tarantino
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 Anthony Tarantino, who also goes by Tom Tarantino, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 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
October 25, 2001 - February 9, 2015
FIRST BROKERS SECURITIES LLC
May 3, 1996 - November 2, 2001
CANTOR FITZGERALD SECURITIES
April 5, 1996 - November 1, 2001
CANTOR FITZGERALD & CO.
March 28, 1996 - November 2, 2001
MINT BROKERS
March 27, 1996 - April 18, 1996
CANTOR FITZGERALD SECURITIES
October 20, 1995 - April 1, 1996
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 10, 1992 - October 16, 1995
CEDAR STREET SECURITIES CORP.
August 7, 1991 - February 11, 1992
CHAPDELAINE CORPORATE SECURITIES & CO
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 55
Date: 7/21/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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