Thomas E. Larossa
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 Edward Larossa, who also goes by Thomas E Larossa, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 27 firms and has passed the Series 63, Series 1, Series 27, Series 53, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 1997 - July 19, 2002
BERNARD, LEE & EDWARDS SECURITIES, INC
October 8, 1996 - July 31, 1997
GLOBAL FINANCIAL GROUP, INC.
May 7, 1996 - September 16, 1996
ROYAL PALM INVESTMENTS, LTD.
September 25, 1995 - April 25, 1996
THE HERITAGE GROUP, INC.
February 8, 1995 - July 28, 1995
HANOVER, STERLING & COMPANY LTD.
November 2, 1994 - January 18, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 19, 1994 - January 18, 1995
JWGENESIS SECURITIES, INC.
April 20, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
September 21, 1993 - March 4, 1994
FLORIDA FINANCIAL CENTERS, INC.
March 19, 1993 - June 23, 1993
ALLIED CAPITAL, INC.
June 17, 1991 - October 23, 1993
BERNARD, LEE & EDWARDS SECURITIES, INC
June 6, 1991 - March 24, 1993
SUPPES SECURITIES, INC.
May 17, 1990 - November 13, 1990
LCP CAPITAL CORP.
April 24, 1989 - August 14, 1989
HASAN GROWNEY CO. INC.
March 23, 1989 - April 14, 1989
JOSEPHTHAL & CO., INC.
June 2, 1988 - February 27, 1989
FIRST AMERICAN CAPITAL RESOURCES, INC.
October 7, 1987 - June 22, 1988
GREELEY SECURITIES, INC.
November 17, 1986 - October 27, 1987
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.
August 7, 1985 - July 17, 1987
HAAS SECURITIES CORPORATION
April 23, 1985 - August 1, 1985
ROONEY, PACE INC.
March 19, 1984 - April 11, 1985
BAIRD, PATRICK & CO., INC.
March 9, 1983 - April 9, 1984
MOORE & SCHLEY, CAMERON & CO.
June 28, 1978 - February 5, 1982
ROBERTSON SECURITIES CORPORATION
October 6, 1976 - December 25, 1978
EFC SPONSORS CORPORATION
October 6, 1976 - January 25, 1983
INDEPENDENT SECURITIES CORPORATION
May 10, 1976 - December 25, 1978
INDEPENDENT FINANCIAL PLANNERS CORPORATION
April 18, 1974 - July 7, 1976
MAYFLOWER SECURITIES CO., INC.
June 29, 1971 - May 15, 1974
KIPPEN CANADA CORP
April 5, 1971 - August 8, 1971
MAYFLOWER SECURITIES CO., 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
Series 1
Date: 3/31/1971
Registered Representative ExaminationSeries 00
Date: 12/13/1971
General Securities Principal ExaminationCurrent Firm
BERNARD, LEE & EDWARDS SECURITIES, INC
CRD#: 24050 / SEC#: , 8-40882
Contact information
Documents
Disclosures
| Regulatory Event | 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.
