Tyrone V. Burroughs
Professional summary
Tyrone Vandelle Burroughs was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tyrone is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Tyrone had worked at 7 firms, which includes INVEST FINANCIAL CORPORATION, WELLS FARGO CLEARING SERVICES LLC, UBS FINANCIAL SERVICES INC., JOSEPHTHAL & CO. INC., FIRST UNION BROKERAGE SERVICES INC., J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2004 - June 17, 2005
INVEST FINANCIAL CORPORATION
June 19, 2001 - October 25, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 1, 1999 - June 25, 2001
UBS FINANCIAL SERVICES INC.
December 16, 1996 - February 2, 1999
JOSEPHTHAL & CO., INC.
February 20, 1996 - December 11, 1996
FIRST UNION BROKERAGE SERVICES, INC.
December 16, 1993 - February 7, 1996
J.P. MORGAN SECURITIES LLC
July 25, 1991 - December 21, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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