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TD

Thomas A. Diedwardo

Some features on this profile are disabled
CRD#: 2524146
TD

Professional summary

Thomas Anthony Diedwardo SR 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 1995. Prior to being barred, Thomas had worked at 11 firms, which includes CHATFIELD DEAN & CO. INC., BISHOP ALLEN INC., W.J. NOLAN & COMPANY INC., HOBBS MELVILLE SECURITIES CORP., KENSINGTON WELLS INCORPORATED, AMERICORP SECURITIES INC., BARINGTON CAPITAL GROUP L.P., D. H. BLAIR & CO. INC., PACIFIC CORTEZ SECURITIES INCORPORATED, LT LAWRENCE & CO. INC., CORTLANDT CAPITAL CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dee Diedwardo | Thomas Anthony Diedwardo | Thomas Diedwardo | Tom Diedwardo | Tommy Dee Diedwardo | Tommy Diedwardo

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

July 29, 1997 - November 12, 1997

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

May 6, 1997 - August 19, 1997

BISHOP, ALLEN, INC.

BD
CRD#: 2060
NEW YORK, NY
Past

March 21, 1997 - April 10, 1997

W.J. NOLAN & COMPANY, INC.

BD
CRD#: 16465
NEW YORK, NY
Past

January 1, 1997 - March 25, 1997

HOBBS MELVILLE SECURITIES CORP.

BD
CRD#: 40133
NEW YORK, NY
Past

April 16, 1996 - October 4, 1996

KENSINGTON WELLS INCORPORATED

BD
CRD#: 30570
Past

January 18, 1996 - January 26, 1996

AMERICORP SECURITIES, INC.

BD
CRD#: 30405
NEW YORK, NY
Past

October 2, 1995 - October 24, 1995

BARINGTON CAPITAL GROUP, L.P.

BD
CRD#: 29383
NEW YORK, NY
Past

September 25, 1995 - September 27, 1995

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

June 19, 1995 - August 29, 1995

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA
Past

May 3, 1995 - May 30, 1995

LT LAWRENCE & CO., INC.

BD
CRD#: 31956
NEW YORK, NY
Past

April 7, 1995 - April 24, 1995

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, 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: 7/21/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/1995
General Securities Representative Examination

Current Firm

CD
CHATFIELD DEAN & CO., INC.
CHATFIELD DEAN & CO., INC. | DENARI SECURITIES, INC. | CHATFIELD INVESTMENT CO.

CRD#: 14714 / SEC#: , 8-31004

BD
Terminated by SEC on 06/28/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 11/14/1983
Firm type
Corporation
Fiscal year end
September
# of Employees

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.

Company Information

CHATFIELD DEAN & CO., INC.

CRD#: 14714

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