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Thomas Anthony Diedwardo Sr

CRD# 2524146·Registered 1995 - 1997
Barred: Thomas Anthony Diedwardo SR was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Thomas Anthony Diedwardo SR, who also goes by Dee Diedwardo, Thomas Anthony Diedwardo, Thomas Diedwardo, Tom Diedwardo, Tommy Dee Diedwardo, Tommy Diedwardo, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1995 - 1997. Thomas had worked at 11 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dee Diedwardo, Thomas Anthony Diedwardo, Thomas Diedwardo, Tom Diedwardo, Tommy Dee Diedwardo, Tommy Diedwardo

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

CHATFIELD DEAN & CO., INC.·CRD# 14714
BD
Greenwood Village, CO
July 29, 1997 - November 12, 1997
BISHOP, ALLEN, INC.·CRD# 2060
BD
New York, NY
May 6, 1997 - August 19, 1997
W.J. NOLAN & COMPANY, INC.·CRD# 16465
BD
New York, NY
March 21, 1997 - April 10, 1997
HOBBS MELVILLE SECURITIES CORP.·CRD# 40133
BD
New York, NY
January 1, 1997 - March 25, 1997
KENSINGTON WELLS INCORPORATED·CRD# 30570
BD
April 16, 1996 - October 4, 1996
AMERICORP SECURITIES, INC.·CRD# 30405
BD
New York, NY
January 18, 1996 - January 26, 1996
BARINGTON CAPITAL GROUP, L.P.·CRD# 29383
BD
New York, NY
October 2, 1995 - October 24, 1995
D. H. BLAIR & CO., INC.·CRD# 6833
BD
New York, NY
September 25, 1995 - September 27, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED·CRD# 24341
BD
San Diego, CA
June 19, 1995 - August 29, 1995
LT LAWRENCE & CO., INC.·CRD# 31956
BD
New York, NY
May 3, 1995 - May 30, 1995
CORTLANDT CAPITAL CORPORATION·CRD# 25152
BD
New York City, NY
April 7, 1995 - April 24, 1995

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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

Contact Information

Established

Colorado since 11/14/1983

Firm Type

Corporation

Fiscal Year End

September

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1995About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1995About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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