Thomas N. Eiff
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 Nuttall Eiff, who also goes by Jack Eiff, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 14 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
May 23, 2022 - August 29, 2023
THE LEADERS GROUP, INC.
July 8, 2019 - December 8, 2021
MML INVESTORS SERVICES, LLC
September 5, 2017 - September 14, 2018
FRONTIER SOLUTIONS, LLC
October 26, 2015 - July 14, 2016
OAKPOINT SOLUTIONS, LLC
July 21, 2015 - November 6, 2015
STONEHAVEN, LLC
March 4, 2014 - July 14, 2015
FRONTIER SOLUTIONS, LLC
December 1, 2011 - June 3, 2013
BRICKELL GLOBAL MARKETS, INC.
June 1, 2010 - October 3, 2011
NATIONAL FINANCIAL SERVICES LLC
October 4, 2007 - April 21, 2010
WEEDEN & CO.L.P.
February 28, 2005 - September 27, 2007
G1 EXECUTION SERVICES, LLC
September 3, 2002 - March 8, 2005
E*TRADE SECURITIES LLC
December 6, 2001 - September 29, 2005
E*TRADE CLEARING LLC
May 12, 2000 - January 26, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 17, 1999 - March 1, 2000
OPPENHEIMER & CLOSE, INC.
February 18, 1998 - May 20, 1999
COWEN AND COMPANY
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: 6/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
