Thomas E. Guagliardo

FUTU CLEARING

Jersey City, NJ 07311

CRD#: 2969872

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Professional summary

Thomas Edward Guagliardo, who also goes by Tom Guagliardo, Thomas E Guagliardo, is a registered financial professional currently at FUTU CLEARING INC located in Jersey City, New Jersey.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Guagliardo | Thomas E Guagliardo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Edward Guagliardo's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 1, 2023 - Present

FUTU CLEARING INC

Office #1: 185 Hudson St - 5 Harborside Ste. 2602, Jersey City, NJ 07311

CRD#: 298769

Jersey City, NJ

Past

January 21, 2022 - July 20, 2023

BMO CAPITAL MARKETS CORP.

CRD#: 16686

New York, NY

Past

October 3, 2008 - October 21, 2021

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

August 19, 2008 - July 19, 2018

BNP PARIBAS PRIME BROKERAGE, INC.

CRD#: 24962

NEW YORK, NY

Past

February 15, 2000 - October 1, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

September 1, 1998 - January 27, 2000

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

June 30, 1998 - August 4, 1998

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(5/20/2024)

Exams

State Security Law Exam

Series 63

Date: 8/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/26/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/29/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/21/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FUTU CLEARING INC

CRD#: 298769 / SEC#: , 8-70215

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Mailing Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Phone number

(972) 665-6903

Established

Delaware since 08/13/2018

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FUTU US INC	OWNER
DU, SHUANG	HEAD OF US OPERATIONS	5005050
KELLY, PATRICK JAMES	CHIEF EXECUTIVE OFFICER	3126322
SHARMA, VICKRAMJIT	CHIEF LEGAL OFFICER	7186502
SHEN, QIUFANG	HEAD OF FINANCE	3158926
STIFELMAN, GLEN ROBERT	CHIEF COMPLIANCE OFFICER	1699013

Red Flags

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Firm Stability Insights

Thomas E. Guagliardo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Edward Guagliardo's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO CAPITAL MARKETS CORP.

BNP PARIBAS SECURITIES CORP.

BNP PARIBAS PRIME BROKERAGE, INC.

BANC OF AMERICA SECURITIES LLC

JEFFERIES LLC

QUICK & REILLY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/7/2004

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 5/26/2005

Series 7

Date: 6/29/1998

Series 24

Date: 2/21/2006

FINRA

Current Firm

FUTU CLEARING INC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FUTU CLEARING INC

TRUST BUT VERIFY

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