Thomas V. Albetta
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 Victor Albetta, who also goes by Tom Albetta, Thomas Albetta, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
November 1, 2021 - April 30, 2026
THE LEADERS GROUP, INC.
July 16, 2019 - November 27, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 13, 2019 - April 3, 2019
NYLIFE SECURITIES LLC
June 15, 2015 - September 25, 2018
TOUCHSTONE SECURITIES, LLC
March 16, 2015 - May 20, 2015
THE LEADERS GROUP, INC.
March 25, 2014 - March 13, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 5, 2006 - November 8, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
June 4, 2002 - January 3, 2006
GUARDIAN INVESTOR SERVICES LLC
February 6, 2001 - May 31, 2002
AFD, INC.
August 29, 2000 - January 25, 2001
GUARDIAN INVESTOR SERVICES LLC
December 24, 1997 - February 12, 1999
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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