Thomas S. Canecchia
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 Steven Canecchia 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, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2001 - November 14, 2001
CAPITAL ONE INVESTMENT SERVICES LLC
April 20, 1998 - December 18, 2000
ESSEX NATIONAL SECURITIES, LLC
November 7, 1995 - April 27, 1998
CAPITAL ONE INVESTMENT SERVICES LLC
August 7, 1995 - September 21, 1995
IFMG SECURITIES, INC.
September 7, 1994 - August 4, 1995
WALL STREET ACCESS
August 12, 1992 - September 20, 1994
FISCO EQUITY, INC.
July 3, 1991 - October 31, 1991
METROPOLITAN LIFE INSURANCE COMPANY
July 3, 1991 - October 31, 1991
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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