Thomas Fradella
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 Fradella was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 15 firms and has passed the Series 63, SIE, Series 55, Series 1 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
June 6, 2019 - January 12, 2020
NOBLE CAPITAL MARKETS, INC.
August 25, 2015 - May 30, 2019
CLEARVIEW TRADING ADVISORS, INC.
August 18, 2010 - August 20, 2015
RANGE GLOBAL LLC
September 4, 2008 - August 30, 2010
NOVA CAPITAL MARKETS, LLC
November 14, 2006 - September 8, 2008
BTIG, LLC
January 3, 2005 - October 27, 2006
MERRIMAN CAPITAL, INC.
January 17, 2003 - April 26, 2005
SAL EQUITY TRADING, GP
November 15, 2001 - November 23, 2004
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 30, 2000 - November 16, 2000
DEUTSCHE IXE, LLC
August 6, 1998 - July 13, 1999
APEX CLEARING CORPORATION
April 30, 1998 - May 27, 1998
CHARLES SCHWAB & CO., INC.
August 1, 1988 - August 18, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 28, 1979 - June 30, 1988
DEUTSCHE IXE, LLC
January 17, 1978 - July 29, 1979
HERZOG, HEINE, GEDULD, LLC
May 18, 1973 - February 7, 1978
DEUTSCHE IXE, LLC
May 17, 1971 - June 3, 1973
SEIDEN & DE CUEVAS INC
October 27, 1970 - April 26, 1971
GOODBODY & CO. INCORPORATED
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: 9/23/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 10/22/1970
Registered Representative ExaminationCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
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