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TL

Thomas J. Linda

Some features on this profile are disabled
CRD#: 2404854
TL

Professional summary

Thomas John Linda was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Thomas had worked at 7 firms, which includes BROOKSTREET SECURITIES CORPORATION, GILFORD SECURITIES INCORPORATED, TAYLOR STUART FINANCIAL INC., TRIDENT PARTNERS LTD., FIRST PROVIDENCE FINANCIAL GROUP LLC, FOSTER JEFFRIES SECURITIES LLC, MEYERS POLLOCK ROBBINS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas J Linda | Tj Linda

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

August 4, 2004 - January 22, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
ATLANTA, GA
Past

March 21, 2001 - August 6, 2004

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

August 2, 2000 - April 12, 2001

TAYLOR STUART FINANCIAL, INC.

BD
CRD#: 39025
GREAT NECK, NY
Past

June 28, 2000 - July 31, 2000

TRIDENT PARTNERS LTD.

BD
CRD#: 41258
WOODBURY, NY
Past

July 14, 1998 - July 19, 2000

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

December 17, 1997 - June 26, 1998

FOSTER JEFFRIES SECURITIES, LLC

BD
CRD#: 30144
WESTBURY, NY
Past

June 24, 1997 - December 16, 1997

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
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: 7/2/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/1997
General Securities Representative Examination

Current Firm

BS
BROOKSTREET SECURITIES CORPORATION
BROOKSTREET CAPITAL MANAGEMENT | TMG SECURITIES, INC. | FINANCIAL MANAGEMENT ADVISORS,INC. | BROOKSTREET SECURITIES CORPORATION

CRD#: 14667 / SEC#: , 8-31032

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/24/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEESHAREHOLDER / OWNER
BROOKS, STANLEY CLIFTONPRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST31684

Disclosures

Regulatory Event25
Civil Event1
Arbitration22

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

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

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