Thomas A. Russo
Professional summary
Thomas Anthony Russo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Thomas had worked at 5 firms, which includes THE THORNWATER COMPANY L.P., J.P. TURNER & COMPANY L.L.C., AIBC INVESTMENT SERVICES CORPORATION, ARGENT SECURITIES INC., JOSEPH STEVENS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2000 - January 1, 2001
THE THORNWATER COMPANY, L.P.
June 10, 1999 - June 22, 2000
J.P. TURNER & COMPANY, L.L.C.
August 27, 1998 - June 24, 1999
THE THORNWATER COMPANY, L.P.
April 9, 1998 - August 26, 1998
AIBC INVESTMENT SERVICES CORPORATION
August 12, 1997 - April 13, 1998
J.P. TURNER & COMPANY, L.L.C.
June 19, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
September 20, 1996 - June 20, 1997
JOSEPH STEVENS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE THORNWATER COMPANY, L.P.
CRD#: 36195 / SEC#: , 8-47178
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
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