Thomas Maiorana
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 Maiorana was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 9 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2001 - December 10, 2001
KOVACK SECURITIES INC.
February 26, 1999 - March 22, 2001
GUNNALLEN FINANCIAL, INC
August 20, 1998 - December 11, 1998
FIRST PROVIDENCE FINANCIAL GROUP, LLC
November 15, 1996 - July 15, 1998
FOSTER JEFFRIES SECURITIES, LLC
April 30, 1996 - December 5, 1996
FIRST WESTCHESTER SECURITIES
November 15, 1995 - April 24, 1996
WIN CAPITAL CORP.
March 4, 1994 - November 16, 1995
BG CAPITAL, INC.
September 8, 1993 - October 22, 1993
CAMELOT INVESTMENT CORP.
February 22, 1993 - May 25, 1993
H G I
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 55
Date: 11/4/1998
Limited Representative-Equity Trader ExamCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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