Thomas E. Ajello
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 Edward Ajello was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 8 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7 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
June 3, 2014 - June 10, 2026
CLSA AMERICAS, LLC
August 2, 2012 - May 23, 2014
WALL STREET ACCESS
May 27, 2011 - July 24, 2012
RODMAN & RENSHAW, LLC
January 15, 2008 - May 27, 2011
HUDSON SECURITIES,INC.
March 10, 2005 - September 29, 2005
E*TRADE CLEARING LLC
March 10, 2005 - January 25, 2008
G1 EXECUTION SERVICES, LLC
March 14, 2000 - February 22, 2005
UBS CAPITAL MARKETS L.P.
February 18, 1998 - October 8, 1999
INET ATS, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 3/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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