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Thomas R. Lloyd

MID ATLANTIC CLEARING & SETTLEMENT
NEEDHAM, MA 02494
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CRD#: 2658110
TL
Thomas Randall LloydMID ATLANTIC CLEARING & SETTLEMENT

Professional summary

Thomas Randall Lloyd, who also goes by Thomas Randall Lloyd, is a registered financial professional currently at MID ATLANTIC CLEARING & SETTLEMENT CORPORATION located in Needham, Massachusetts.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Thomas Randall Lloyd

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) - BD

Click below to view Thomas Randall Lloyd's CRS (Customer Relationship Summary).

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

Current

July 6, 2022 - Present

MID ATLANTIC CLEARING & SETTLEMENT CORPORATION

Office #1: 140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494
BD
CRD#: 37466
NEEDHAM, MA
Past

January 1, 2008 - July 9, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY
Past

May 20, 1999 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
COVINGTON, KY
Past

October 30, 1995 - May 10, 1999

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Kentucky
(7/6/2022)
RR
Ohio
(7/6/2022)
RR
Tennessee
(7/6/2022)
RR
Virginia
(7/6/2022)

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 11/15/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 8/14/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Status Unavailable
Passed: 10/27/1995
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
ADVISORS CLEARING NETWORK, INC. | MID ATLANTIC CLEARING & SETTLEMENT CORPORATION | LIFE CYCLE MUTUAL FUNDS DISTRIBUTORS, INC. | BISYS BD SERVICES, INC.

CRD#: 37466 / SEC#: , 8-47758

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494
Mailing Address
140 Building C Floor 3 Suite C320, Needham, MA 02494
Phone number
8006937800345
Established
Delaware since 09/12/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
MID ATLANTIC TRUST COMPANYOWNER
BAIER, ELIZABETH CURROFINOP, PRINCIPAL FINANCIAL OFFICER (CFO) AND PRINCIPAL OPERATIONS OFFICER4851105
FOLMER, MICHAEL ROBERTTREASURER AND VICE PRESIDENT, TAX AND FINANCE5655451
GEARIN, JAMES MPRESIDENT1405150
MACINNIS, DAVID BRUCECHIEF COMPLIANCE OFFICER AND SECRETARY3184368

Disclosures

Regulatory Event1

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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Company Information

MID ATLANTIC CLEARING & SETTLEMENT CORPORATION

CRD#: 37466Needham, MA 02494

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