Thomas M. Sipp
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 Michael Sipp, who also goes by Tom Michael Sipp, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 6 firms and has passed the SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2010 - October 1, 2012
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
September 25, 2009 - May 17, 2017
CREDIT SUISSE SECURITIES (USA) LLC
October 7, 2008 - August 20, 2009
PYRAMIS DISTRIBUTORS CORPORATION LLC
March 5, 2007 - February 9, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
November 15, 2001 - August 1, 2006
NATIONWIDE FUND DISTRIBUTORS LLC
May 14, 2001 - October 21, 2003
VILLANOVA SECURITIES LLC
May 10, 2001 - August 8, 2001
NATIONWIDE FUND DISTRIBUTORS LLC
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
Current Firm
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
CRD#: 15654 / SEC#: , 8-32482
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CSAM AMERICAS HOLDING CORP. | SOLE MEMBER | |
| OKEEFE, PAUL JOSEPH | CHIEF FINANCIAL OFFICER | 2770958 |
| POPP, JOHN GERARD | MANAGING DIRECTOR, MEMBER OF THE BOARD OF DIRECTORS | 1497733 |
| REGAN, KAREN | SECRETARY | 5852431 |
| RHODEHOUSE, KEVIN GLENN | CHIEF COMPLIANCE OFFICER (CCO) | 2595436 |
| SIPP, THOMAS MICHAEL | PRESIDENT, MEMBER OF THE BOARD OF DIRECTORS | 2407526 |
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.
