Thomas J. Dedo
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 James Dedo JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2007 - March 12, 2014
MISCHLER FINANCIAL GROUP, INC.
August 17, 2001 - March 20, 2007
HILLTOP SECURITIES INC.
March 6, 2000 - August 17, 2001
O'CONNOR SECURITIES
May 12, 1995 - March 8, 2000
GILFORD SECURITIES INCORPORATED
December 20, 1994 - May 15, 1995
LIBERTY CAPITAL MARKETS, INC.
November 10, 1992 - November 30, 1994
ROTH CAPITAL PARTNERS, LLC
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
Current Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
