Thomas J. Stiska
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 John Stiska, who also goes by Tom Stiska, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 4 firms and has passed the Series 63, SIE, Series 79, 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
June 13, 2014 - May 4, 2015
HURON TRANSACTION ADVISORY LLC
June 8, 2001 - February 20, 2008
DEUTSCHE BANK SECURITIES INC.
December 5, 2000 - April 11, 2001
A. G. EDWARDS & SONS, INC.
May 25, 1994 - July 14, 1994
GT GLOBAL, INC.
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
HURON TRANSACTION ADVISORY LLC
CRD#: 166959 / SEC#: , 8-69237
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
