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Thomas C. Priore

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CRD#: 2265868
TP

Professional summary

Thomas Charles Priore was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Thomas had worked at 4 firms, which includes ICP SECURITIES LLC, BNY CAPITAL MARKETS INC., GUGGENHEIM SECURITIES LLC, UBS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

June 2, 2005 - May 9, 2012

ICP SECURITIES LLC

BD
CRD#: 133436
NEW YORK, NY
Past

August 18, 2004 - December 31, 2005

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

November 22, 2000 - August 12, 2004

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

October 23, 1992 - November 29, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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: 10/30/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/26/2001
General Securities Principal Examination

Current Firm

IS
ICP SECURITIES LLC
ICP SECURITIES LLC | OWS SECURITIES, LLC

CRD#: 133436 / SEC#: , 8-66726

BD
Terminated by SEC on 06/02/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/03/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INSTITUTIONAL CREDIT PARTNERS LLCSOLE MEMBER
PRIORE, THOMAS CHARLESPRESIDENT2265868
SPINDEL, HOWARDFINANCIAL OPERATIONS PRINCIPAL708042
WHEATON, LESLIE ANNECHIEF COMPLIANCE OFFICER2223288

Disclosures

Regulatory Event1
Civil Event1

Red Flags

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Company Information

ICP SECURITIES LLC

CRD#: 133436

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