Thomas P. Athan
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 Peter Athan, who also goes by Athan Peter Thomas, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 5 firms and has passed the Series 63 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
December 14, 2010 - November 9, 2012
ROCHDALE SECURITIES LLC
April 11, 2007 - August 24, 2010
AIG FINANCIAL SECURITIES CORP.
November 30, 2004 - April 3, 2007
SG AMERICAS SECURITIES, LLC
January 30, 1998 - July 30, 2004
COWEN AND COMPANY
December 5, 1996 - July 17, 1997
LEHMAN 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
Current Firm
ROCHDALE SECURITIES LLC
CRD#: 6863 / SEC#: , 8-36987
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROWLEY, DANIEL JOSEPH | PRESIDENT | 2013600 |
| ROCHDALE CORPORATION | SHAREHOLDER | |
| TALGO, KRISTEN LYLE | SENIOR VICE PRESIDENT | 1006408 |
| TUNICK, HAL STEVEN | SENIOR VICE PRESIDENT | 1342503 |
| BENNETT, RICHARD WILLIAM | VICE PRESIDENT | 18380 |
| BURKE, PATRICK RONALD JR | VICE PRESIDENT | 2133167 |
| CASSIDY, KEVIN JOSEPH | SENIOR VICE PRESIDENT | 2661918 |
| DIMANGO, DOMENICK | V. P. CHIEF COMPLIANCE OFFICER, ROSFP | 1040021 |
| ODDO, RICHARD DARYL | VICE PRESIDENT | 728315 |
| RAUSEI, FLAVIO ANGEL | COMPTROLLER, FINOP | 4551765 |
| SIMPSON, MATTHEW A. | MANGING DIRECTOR | 4715223 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
