Thomas P. Budinger
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 Patrick Budinger, who also goes by Thomas Budinger, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7TO, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2019 - May 5, 2022
CHAMPLAIN ADVISORS, LLC
July 8, 2010 - January 6, 2012
PACIFIC CREST SECURITIES LLC
November 24, 2008 - July 14, 2010
ALLIANCEBERNSTEIN L.P.
November 24, 2008 - July 14, 2010
SANFORD C. BERNSTEIN & CO., LLC
June 7, 1999 - June 18, 2007
PRUDENTIAL EQUITY GROUP, LLC
April 5, 1995 - June 9, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 1993 - March 28, 1995
LEHMAN BROTHERS INC.
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 7TO
Date: 8/19/2019
General Securities Representative ExaminationSeries 8
Date: 7/24/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHAMPLAIN ADVISORS, LLC
CRD#: 129560 / SEC#: , 8-66233
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
