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TC

Thomas R. Colucci

Some features on this profile are disabled
CRD#: 2373105
TC

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 Richard Colucci JR was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 17, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 22, 2019 - May 26, 2021

PANMURE GORDON SECURITIES LIMITED

BD
CRD#: 268823
LONDON,
Past

March 31, 2016 - October 17, 2017

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
New York, NY
Past

February 17, 2012 - May 10, 2016

TFS DERIVATIVES LLC

BD
CRD#: 30395
NEW YORK, NY
Past

April 4, 2001 - August 23, 2001

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 22, 1997 - March 6, 2001

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

January 3, 1995 - November 1, 1996

NEUBERGER BERMAN MANAGEMENT LLC

BD
CRD#: 5493
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 17
Date: 2/16/2012
Limited Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/28/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PG
PANMURE GORDON SECURITIES LIMITED
PANMURE GORDON SECURITIES LIMITED

CRD#: 268823 / SEC#: , 8-69631

BD
Terminated by SEC on 03/10/2025
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PANMURE LIBERUM & CO. LIMITEDSHAREHOLDER
GRAY, JOHN CLARKEFINOP / CFO1367440
PARTICK-HILEY, NICHOLAS GEORGECHIEF COMPLIANCE OFFICER1941818

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.

Company Information

PANMURE GORDON SECURITIES LIMITED

CRD#: 268823

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