Dominic T. Tone
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.
Dominic Thomas Tone was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 1993. Dominic had worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2017 - November 14, 2025
INTERCOASTAL CAPITAL MARKETS, INC.
October 13, 2009 - April 21, 2017
SECUREVEST FINANCIAL GROUP
June 20, 2003 - October 19, 2009
J. B. HANAUER & CO.
August 4, 1993 - October 27, 2009
J. B. HANAUER & CO.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
INTERCOASTAL CAPITAL MARKETS, INC.
CRD#: 83 / SEC#: , 8-9698
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
| Bond | 1 |
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.
