Debra L. Tom
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.
Debra Louise Tom was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1995. Debra had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2014 - July 30, 2014
QUAD CAPITAL, LLC
April 28, 2014 - March 11, 2015
QUAD SECURITIES LLC
July 17, 2007 - July 22, 2009
CITIGROUP GLOBAL MARKETS INC.
December 11, 2000 - April 17, 2007
MORGAN STANLEY & CO. LLC
July 20, 1999 - August 21, 2001
COMMERZ MARKETS LLC
July 1, 1998 - October 24, 1998
ABN AMRO SECURITIES LLC
November 1, 1996 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
January 28, 1995 - October 1, 1996
UBS FINANCIAL SERVICES INC.
January 16, 1995 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
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
Current Firm
QUAD CAPITAL, LLC
CRD#: 148927 / SEC#: , 8-68085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD CAPITAL MANAGEMENT, LLC | OWNER | |
| BENINCASA, GABRIEL ANTHONY | GENERAL COUNSEL & CCO | 2253881 |
| CIAMPI, GUERINO | SMD | |
| GUARINO, JOHN VINCENT | SMD | |
| RUBACKY, PAUL IGNATIAUS | CFO |
Disclosures
| Regulatory Event | 2 |
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.
