Thomas W. Ianiro
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 William Ianiro was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 7 firms and has passed the Series 55, PC, Series 41, Series 1 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
August 15, 1989 - June 2, 2014
FIRST ANALYSIS SECURITIES CORPORATION
June 21, 1977 - May 5, 1989
WILLIAM BLAIR
April 6, 1977 - August 9, 1977
SECURITIES SETTLEMENT CORPORATION
April 1, 1976 - April 22, 1977
R. M. RICE & CO., INC.
February 25, 1975 - September 25, 1976
SECURITY COUNSELORS INC.
April 7, 1972 - August 20, 1974
FIFTH THIRD SECURITIES, INC.
December 1, 1970 - May 8, 1972
J. N. RUSSELL 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 55
Date: 2/22/2000
Limited Representative-Equity Trader ExamPC
Date: 9/27/1988
AMEX Put and Call ExamSeries 41
Date: 12/17/1983
NYSE Allied Member ExaminationSeries 1
Date: 6/3/1965
Registered Representative ExaminationCurrent Firm
FIRST ANALYSIS SECURITIES CORPORATION
CRD#: 10446 / SEC#: , 8-27350
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | |
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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