Thomas R. Mierzwiak
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 Robert Mierzwiak, who also goes by Thomas R Mierzwiak, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 9 firms and has passed the Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2005 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
July 1, 2005 - August 5, 2005
TOWER SQUARE SECURITIES, INC.
April 12, 2005 - September 6, 2013
WALNUT STREET SECURITIES, INC.
April 12, 2005 - November 21, 2013
NEW ENGLAND SECURITIES
April 9, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 9, 2003 - November 21, 2013
MSI FINANCIAL SERVICES, INC.
October 1, 2001 - December 3, 2001
BNY MELLON SECURITIES LLC
June 2, 2000 - November 29, 2001
FIRSTAR INVESTMENT SERVICES,INC.
March 15, 2000 - November 30, 2001
CONSECO SECURITIES, INC.
July 8, 1998 - October 20, 1999
MORGAN STANLEY DW 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
TOWER SQUARE SECURITIES, INC.
CRD#: 833 / SEC#: 801-50585, 8-13752
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLAZA LLC | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
| Bond | 2 |
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.
