Vishram V. Toolsie
Professional summary
Vishram Vick Toolsie was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vishram is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Vishram had worked at 5 firms, which includes QUICK & REILLY INC., FLEET ENTERPRISES INC., GLOBAL CAPITAL MARKETS LLC, HD BROUS & CO. INC., NEW TIMES SECURITIES SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2000 - November 6, 2000
QUICK & REILLY, INC.
February 29, 2000 - August 7, 2000
FLEET ENTERPRISES, INC.
January 31, 2000 - March 8, 2000
GLOBAL CAPITAL MARKETS, LLC
July 20, 1999 - January 18, 2000
HD BROUS & CO., INC.
May 27, 1999 - July 20, 1999
NEW TIMES SECURITIES SERVICES, 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
Current Firm
QUICK & REILLY, INC.
CRD#: 11217 / SEC#: , 8-17986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUICK & REILLY/FLEET SECURITIES, INC. | 100% SHAREHOLDER | |
| BOTT, ROBERT LAWRENCE | EXECUTIVE VICE PRESIDENT | 1079745 |
| CONWAY, JOSEPH FRANCIS | SROP | 1299116 |
| DORFMAN, BETH ELYSE | GENERAL COUNSEL & SECRETARY | 1299764 |
| GOLDMEER, MICHELE | SENIOR COUNSEL & ASSISTANT SECRETARY | 4273410 |
| GREGOR, STANLEY ANTHONY | PRESIDENT /CEO | 1672974 |
| LOUKAS, RONALD STANSBURY | MUNICIPAL PRINCIPAL | 1054716 |
| MATTIA, GERARD | CHIEF OPERATING OFFICER | 4728053 |
| MOYNIHAN, BRIAN | BOARD MEMBER | 4553207 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER | 1821188 |
| SCHRODER, ALAN ARTHUR SR. | DIRECTOR | 801763 |
| TEMPLE, CYNTHIA JO | CHIEF OPERATIONS OFFICER | 2444506 |
| WINTHER, TORBEN OLELERCHE | CHIEF COMPLIANCE OFFICER | 1821483 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 2 |
| Arbitration | 10 |
Red Flags
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