Thomas M. Trivella
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 Michael Trivella, who also goes by Michael Trivella, 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, Series 87, Series 7, Series 4 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
October 30, 2013 - October 4, 2019
ALPS DISTRIBUTORS, INC.
June 21, 2010 - August 28, 2012
CITADEL SECURITIES LLC
May 15, 2009 - May 13, 2010
FIRST BROKERS SECURITIES LLC
January 14, 2009 - May 13, 2010
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 5, 2004 - March 23, 2005
PROVIDENT INTERNATIONAL SECURITIES, INC.
November 17, 1997 - January 10, 2003
CREDIT SUISSE SECURITIES (USA) LLC
August 6, 1996 - December 2, 1997
SALOMON BROTHERS 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: 5/2/2011
Limited Representative-Equity Trader ExamCurrent Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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