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Thomas A. Finati

Some features on this profile are disabled
CRD#: 3041988
TF

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 Anthony Finati, who also goes by Thomas A Finanti, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 4, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas A Finanti

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 8, 2013 - June 16, 2021

UNICREDIT CAPITAL MARKETS LLC

BD
CRD#: 7789
NEW YORK, NY
Past

November 17, 2011 - August 23, 2012

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

November 17, 2011 - August 23, 2012

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

April 13, 2009 - August 20, 2012

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
NEWARK, NJ
Past

April 2, 2009 - August 20, 2012

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 10, 2006 - November 1, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
NEW YORK, NY
Past

March 6, 2006 - November 1, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

October 20, 2004 - September 12, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
NEW YORK, NY
Past

October 20, 2004 - September 12, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

November 25, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
NEW YORK, NY
Past

August 7, 2000 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

May 14, 1998 - August 7, 2000

FLEET ENTERPRISES, INC.

BD
CRD#: 17434
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/23/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/8/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/11/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/14/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/7/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/17/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/31/1998
General Securities Principal Examination

Current Firm

UC
UNICREDIT CAPITAL MARKETS LLC
ASSOCIATED EUROPEAN CAPITAL CORPORATION | UNICREDIT CAPITAL MARKETS, INC | UNICREDIT CAPITAL MARKETS LLC | HYPOVEREINSBANK CAPITAL MARKETS | HVB CAPITAL MARKETS, INC. | CAIB SECURITIES NEW YORK | BV CAPITAL MARKETS, INC.

CRD#: 7789 / SEC#: , 8-23081

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
15o East 42nd Street, New York, NY 10017-4679
Mailing Address
150 East 42nd Street, New York, NY 10017-4679
Phone number
(212) 672-5945
Established
New York since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
UNICREDIT U.S. FINANCE LLCDIRECT OWNER
GLYNN, MICHAEL GERARDFINOP3219445
KOETHE, MARIO ARMIN MR.BOARD MEMBER7237856
MUELLER, PHILIPP JOCHENCHIEF COMPLIANCE OFFICER7549745
SAXENA, SUPRIYABOARD MEMBER7596034
STEFFENS, CHRISTIANBOARD MEMBER7898114
VALENTE, DOMINICK FRANKPRESIDENT5912165

Disclosures

Regulatory Event3

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.

Company Information

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789

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