Thomas J. Festa
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 Joseph Festa, who also goes by Thomas J Festa, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 55, Series 31, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2016 - June 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 11, 2006 - October 29, 2007
TAFFERER TRADING, LLC
December 15, 2004 - April 12, 2005
TAFFERER TRADING, LLC
August 15, 2002 - February 14, 2003
WORLDCO, L.L.C.
November 29, 2000 - December 22, 2000
FIRSTAR INVESTMENT SERVICES,INC.
September 17, 1999 - February 8, 2000
WORLDCO, L.L.C.
November 23, 1998 - September 16, 1999
WORLDCO, L.L.C.
August 1, 1997 - September 17, 1998
WORLDCO, L.L.C.
March 27, 1997 - April 28, 1997
CONSECO SECURITIES, INC.
April 23, 1996 - November 20, 1996
MORGAN STANLEY DW INC.
November 15, 1995 - March 15, 1996
JOSEPHTHAL & CO., INC.
February 10, 1995 - May 31, 1995
RYAN BECK & CO.
July 28, 1994 - January 15, 1995
HENNION & WALSH, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 55
Date: 8/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
