Thomas Proudian
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 Proudian was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 6 firms and has passed the Series 63, Series 55, Series 7 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
February 9, 2010 - June 20, 2012
BLOCK ORDERS EXECUTION, LLC
February 29, 2008 - March 10, 2008
CHADBOURN SECURITIES, INC.
October 7, 2005 - March 31, 2006
BLOCK ORDERS EXECUTION, LLC
May 3, 2005 - December 16, 2005
DASH FINANCIAL TECHNOLOGIES LLC
January 2, 2004 - May 18, 2005
STG SECURE TRADING GROUP, INC.
December 13, 1999 - March 12, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 20, 1996 - December 9, 1999
ALEXANDER, WESCOTT, & CO., 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: 11/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
BLOCK ORDERS EXECUTION, LLC
CRD#: 134932 / SEC#: , 8-66871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIQUID HOLDINGS, LLC, | 100% OWNER, SOLE MEMBER | |
| FRANZINI, SCOTT RICHARD | CHIEF COMPLIANCE OFFICER. ELECTED MANAGER | 4064007 |
| SAMUEL, KEVIN SHUICHI | SECRETARY, DIRECTOR, MANAGING PARTNER OF SOLE MEMBER, ELECTED MANAGER | 4792005 |
| SAMUEL, KEVIN SHUICHI | PRESIDENT | 4792005 |
| WIELAGE, JAMESON TAYLOR | CFO/FINOP. ELECTED MANAGER | 5762468 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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