Thomas T. Maiden
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 Tupper Maiden, who also goes by Tom Maiden, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 20 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
June 20, 2012 - October 19, 2012
ACCESS SECURITIES, LLC
June 22, 2011 - June 20, 2012
HALCYON CABOT PARTNERS, LTD.
January 19, 2011 - June 17, 2011
DIRECT ACCESS PARTNERS LLC
June 9, 2008 - December 31, 2010
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
February 9, 2008 - June 3, 2008
DAWSON JAMES SECURITIES, INC.
October 27, 2006 - February 12, 2008
CAPITAL GROWTH FINANCIAL, LLC
October 11, 2004 - November 22, 2006
MAXIM GROUP LLC
January 22, 2004 - March 19, 2004
SAXONY SECURITIES, INC.
June 12, 2001 - October 1, 2002
AVALON PARTNERS, INC.
March 16, 2001 - July 18, 2001
DPEC CAPITAL, INC.
December 7, 2000 - March 6, 2001
LAIDLAW GLOBAL SECURITIES, INC.
March 14, 2000 - December 22, 2000
BERRY-SHINO SECURITIES, INC.
April 7, 1999 - March 16, 2000
AVALON PARTNERS, INC.
February 20, 1998 - March 20, 1999
SOLID ISG CAPITAL MARKETS, LLC
April 21, 1997 - October 1, 1997
COLEMAN & COMPANY SECURITIES, INC.
October 16, 1996 - April 4, 1997
CHATFIELD DEAN & CO., INC.
July 25, 1994 - October 7, 1996
BLUESTONE CAPITAL CORP.
January 8, 1994 - July 19, 1994
PRUDENTIAL EQUITY GROUP, LLC
July 23, 1993 - December 3, 1993
GRUNTAL & CO., L.L.C.
January 5, 1993 - April 5, 1993
IDS LIFE INSURANCE COMPANY
January 5, 1993 - April 5, 1993
AMERIPRISE FINANCIAL SERVICES, 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
ACCESS SECURITIES, LLC
CRD#: 22455 / SEC#: , 8-39729
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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