Thomas R. Colucci
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2019 - May 26, 2021
PANMURE GORDON SECURITIES LIMITED
March 31, 2016 - October 17, 2017
TRADITION SECURITIES AND DERIVATIVES LLC
February 17, 2012 - May 10, 2016
TFS DERIVATIVES LLC
April 4, 2001 - August 23, 2001
J.P. MORGAN SECURITIES LLC
December 22, 1997 - March 6, 2001
PERSHING LLC
January 3, 1995 - November 1, 1996
NEUBERGER BERMAN MANAGEMENT LLC
State Registrations and Notice Filings
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Exams
Series 17
Date: 2/16/2012
Limited Registered Representative ExaminationCurrent Firm
PANMURE GORDON SECURITIES LIMITED
CRD#: 268823 / SEC#: , 8-69631
Contact information
Documents
Red Flags
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