Thomas W. Radic
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 W Radic, who also goes by Thomas Radic, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 17 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
May 6, 2014 - October 26, 2015
EMPIRICAL CAPITAL SOLUTIONS
December 24, 2010 - June 14, 2011
J.P. MORGAN SECURITIES LLC
May 16, 2006 - June 16, 2009
GOLDMAN SACHS & CO. LLC
August 22, 1996 - May 2, 2000
CA IB SECURITIES (NEW YORK) INC.
November 8, 1995 - August 6, 1996
CREDIT AGRICOLE SECURITIES (USA) INC.
State Registrations and Notice Filings
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Exams
Series 17
Date: 5/15/2006
Limited Registered Representative ExaminationCurrent Firm
EMPIRICAL CAPITAL SOLUTIONS
CRD#: 168063 / SEC#:
Contact information
Red Flags
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