Thomas B. Ireland
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 Brown Ireland was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1966. Thomas had worked at 6 firms and has passed the Series 63, Series 41, PC, Series 1, Series 40, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2004 - December 9, 2004
WASSERMAN & ASSOCIATES, INC.
January 23, 2004 - March 4, 2004
CORPORATE INVESTMENTS GROUP, INC.
January 21, 2000 - February 20, 2004
MILESTONE FINANCIAL SERVICES, INC.
October 3, 1991 - December 31, 1999
THOS. K. WASSERMAN & ASSOCIATES, INC.
February 28, 1991 - August 23, 1991
EDWARD JONES
October 27, 1966 - March 14, 1991
RONEY & CO. L.L.C.
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 41
Date: 11/1/1978
NYSE Allied Member ExaminationPC
Date: 8/22/1977
AMEX Put and Call ExamSeries 1
Date: 6/25/1964
Registered Representative ExaminationSeries 40
Date: 11/30/1978
Registered Principal ExaminationSeries 12
Date: 8/6/1970
NYSE Branch Manager ExaminationCurrent Firm
WASSERMAN & ASSOCIATES, INC.
CRD#: 45085 / SEC#: , 8-50959
Contact information
Documents
Disclosures
| Arbitration | 2 |
Red Flags
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