Thomas Montagnino
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 Montagnino was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 55 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
June 4, 2014 - September 28, 2015
WALLACHBETH CAPITAL LLC
January 29, 2013 - June 2, 2014
XFA SECURITIES, LLC
May 31, 2012 - December 21, 2012
R. F. LAFFERTY & CO., INC.
November 17, 2000 - February 7, 2012
COWEN EXECUTION SERVICES LLC
July 7, 2000 - July 31, 2000
TRACK DATA SECURITIES CORPORATION
October 27, 1999 - July 31, 2000
REVERE SECURITIES LLC
October 8, 1996 - April 18, 1997
INVESTORS ASSOCIATES, INC.
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 55
Date: 2/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
WALLACHBETH CAPITAL LLC
CRD#: 147853 / SEC#: , 8-67936
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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