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TS

Tobin J. Senefeld

Some features on this profile are disabled
CRD#: 2120820
TS

Professional summary

Tobin Joseph Senefeld was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Tobin is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Tobin had worked at 8 firms, which includes PIN FINANCIAL LLC, CHAMPION SECURITIES COMPANY L.L.C., INDIANA SECURITIES LLC, RICHARD B. VANCE & COMPANY, MORGAN KEEGAN & COMPANY LLC, H.J. MEYERS & CO. INC., WESTFIELD FINANCIAL CORPORATION, HIBBARD BROWN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tobin J Senefeld | Tobin Senefeld

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 14, 2012 - June 22, 2016

PIN FINANCIAL, LLC

BD
CRD#: 132876
Carmel, IN
Past

February 14, 2012 - June 28, 2012

CHAMPION SECURITIES COMPANY L.L.C.

BD
CRD#: 25892
CARMEL, IN
Past

July 31, 2009 - April 18, 2011

INDIANA SECURITIES, LLC

BD
CRD#: 45115
INDIANAPOLIS, IN
Past

December 23, 1998 - August 1, 2000

RICHARD B. VANCE & COMPANY

BD
CRD#: 3656
JOLIET, IL
Past

June 30, 1997 - October 29, 1998

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

August 22, 1994 - July 29, 1997

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

August 8, 1994 - August 19, 1994

WESTFIELD FINANCIAL CORPORATION

BD
CRD#: 8143
NEW YORK, NY
Past

June 17, 1991 - September 15, 1994

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/5/2006
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/11/2013
General Securities Principal Examination

Current Firm

PF
PIN FINANCIAL, LLC
PIN FINANCIAL, LLC

CRD#: 132876 / SEC#: , 8-66650

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/20/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PINCAP LLCPARENT/HOLDING COMPANY
MITCHELL, ROBERT JOHNCHIEF COMPLIANCE OFFICER & FINOP2908382
SENEFELD, TOBIN JOSEPHCEO2120820

Disclosures

Regulatory Event1

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.

Company Information

PIN FINANCIAL, LLC

CRD#: 132876

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