Thomas J. Faulhaber
Professional summary
Thomas John Faulhaber was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Thomas had worked at 3 firms, which includes OPUS TRADING FUND LLC, ELECTRONIC TRADING GROUP LLC, ON-SITE TRADING INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2006 - December 20, 2007
OPUS TRADING FUND LLC
October 5, 2000 - November 23, 2005
ELECTRONIC TRADING GROUP, LLC
January 23, 1998 - April 27, 2000
ON-SITE TRADING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 7/24/1999
Limited Representative-Equity Trader ExamSeries 62
Date: 1/16/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
OPUS TRADING FUND LLC
CRD#: 125204 / SEC#: , 8-65779
Contact information
Documents
Red Flags
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