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TA

Thomas E. Ajello

CLSA AMERICAS
New York, NY 10036
Some features on this profile are disabled
CRD#: 2542229
TA

Professional summary

Thomas Edward Ajello is a registered financial professional currently at CLSA AMERICAS, LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 8 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Thomas Edward Ajello's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 3, 2014 - Present

CLSA AMERICAS, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
RIA
BD
CRD#: 165533
New York, NY
Past

August 2, 2012 - May 23, 2014

WALL STREET ACCESS

BD
CRD#: 10012
TINTON FALLS, NJ
Past

May 27, 2011 - July 24, 2012

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
JERSEY CITY, NJ
Past

January 15, 2008 - May 27, 2011

HUDSON SECURITIES,INC.

BD
CRD#: 10467
JERSEY CITY, NJ
Past

March 10, 2005 - September 29, 2005

E*TRADE CLEARING LLC

BD
CRD#: 25025
JERSEY CITY, NJ
Past

March 10, 2005 - January 25, 2008

G1 EXECUTION SERVICES, LLC

BD
CRD#: 111528
NEW YORK, NY
Past

March 14, 2000 - February 22, 2005

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

February 18, 1998 - October 8, 1999

INET ATS, INC.

BD
CRD#: 20746
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/3/2014)
RR
Florida
(6/3/2014)
RR
New Jersey
(10/24/2019)
RR
New York
(6/3/2014)
RR
Texas
(6/3/2014)
RR
Virginia
(6/3/2014)
RR
Washington
(10/24/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/26/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/25/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/17/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CA
CLSA AMERICAS, LLC
CLSA AMERICAS, LLC

CRD#: 165533 / SEC#: , 8-69166

California
Registered Investment Advisory firm - SEC (1/1/2019 Approved)
Connecticut
Registered Investment Advisory firm - SEC (1/14/2019 Approved)
Texas
Registered Investment Advisory firm - SEC (1/28/2019 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
Phone number
(212) 549-5097
Established
Delaware since 08/15/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
61

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CLSA AMERICAS HOLDINGS, INC.MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIECCO2441597
HOLUB, WILLIAM CHARLESBOARD MEMBER, CFO-FINOP2680290
PARK, EDWARDBOARD MEMBER7550990
SCHWARTZ, BRADLEY HARRISBOARD MEMBER, CEO2372237
ZHANG, HUIZIBOARD MEMBER8008880

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

CLSA AMERICAS, LLC

CRD#: 165533New York, NY 10036

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