Michael J. Tordone

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CRD#: 2624326

Professional summary

Michael John Tordone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Michael had worked at 11 firms, which includes TSC DISTRIBUTORS LLC, LAZARD ASSET MANAGEMENT SECURITIES LLC, G.DISTRIBUTORS LLC, GAMCO ASSET MANAGEMENT INC., G.RESEARCH LLC, BURCH & COMPANY INC, EATON VANCE MANAGEMENT, EATON VANCE DISTRIBUTORS INC., GLOBAL ALTERNATIVE INVESTMENT SERVICES INC., PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC, GLOBAL ATLANTIC DISTRIBUTORS LLC.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 30, 2015 - March 2, 2016

TSC DISTRIBUTORS, LLC

CRD#: 37058

BOSTON, MA

Past

November 17, 2011 - June 5, 2014

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

August 1, 2011 - August 26, 2011

G.DISTRIBUTORS, LLC

CRD#: 155071

RYE, NY

Past

September 30, 2010 - August 26, 2011

GAMCO ASSET MANAGEMENT INC.

RIA

CRD#: 104950

GREENWICH, CT

Past

September 17, 2010 - August 26, 2011

G.RESEARCH, LLC

CRD#: 7353

RYE, NY

Past

June 22, 2010 - September 21, 2010

BURCH & COMPANY, INC

CRD#: 102280

LEAWOOD, KS

Past

April 17, 2009 - May 26, 2010

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

August 23, 2002 - May 26, 2010

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

February 23, 2001 - August 12, 2002

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

October 13, 1998 - January 9, 2001

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

January 22, 1996 - August 18, 1998

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/28/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/6/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/30/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/24/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/19/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TSC DISTRIBUTORS, LLC

ABAX BROKERAGE SERVICES LLC | TSC DISTRIBUTORS, LLC | ABAX BROKERAGE SERVICES, INC.

CRD#: 37058 / SEC#: , 8-47579

Terminated by SEC on 10/02/2017

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 02/04/2011

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
TS CAPITAL, LLC	OWNER
ARACRI, JENNIFER KERBY	CHIEF COMPLIANCE OFFICER	1317929
CAMPBELL, ROBERT	FINOP	1349154
VAINISI, JEROME ARTHUR	CHIEF EXECUTIVE OFFICER	2011056

Disclosures

Judgment/Lien

Red Flags

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Michael J. Tordone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LAZARD ASSET MANAGEMENT SECURITIES LLC

G.DISTRIBUTORS, LLC

GAMCO ASSET MANAGEMENT INC.

G.RESEARCH, LLC

BURCH & COMPANY, INC

EATON VANCE MANAGEMENT

EATON VANCE DISTRIBUTORS, INC.

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2004

Series 63

Date: 2/6/1996

SIE

Date: 3/2/2016

Series 31

Date: 11/30/2012

Series 7

Date: 7/24/2001

Series 6

Date: 1/19/1996

Current Firm

TSC DISTRIBUTORS, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TSC DISTRIBUTORS, LLC

TRUST BUT VERIFY

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