Thomas J. Cortese
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 Joseph Cortese was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 14, Series 14A, Series 4, Series 24 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
June 8, 2015 - August 21, 2017
AST INVESTOR SERVICES LLC
March 18, 2008 - May 30, 2008
KV EXECUTION SERVICES LLC
April 5, 2005 - May 2, 2008
BEAR HUNTER STRUCTURED PRODUCTS LLC
May 30, 2001 - December 31, 2001
WSM HOLDINGS, L.L.C.
April 23, 2001 - April 1, 2009
BEAR WAGNER SPECIALISTS LLC
April 24, 1995 - April 23, 2001
WSM HOLDINGS, L.L.C.
May 27, 1993 - August 7, 1995
WAGNER, STOTT & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 14A
Date: 3/25/1994
Compliance Official Specialist ExamSeries 8
Date: 5/21/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AST INVESTOR SERVICES LLC
CRD#: 155050 / SEC#: , 8-68694
Contact information
Documents
Red Flags
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