Thomas J. Lopresti
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 Joseph Lopresti, who also goes by Thomas Joseph Lopresfi, Thomas J Lopresti, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 10 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2008 - October 1, 2018
NATIONAL SECURITIES CORPORATION
December 8, 1998 - October 20, 2008
FIRST MONTAUK SECURITIES CORP.
June 2, 1997 - November 17, 1998
DONALD & CO. SECURITIES INC.
May 8, 1989 - June 3, 1997
MID-STATE SECURITIES CORP.
August 20, 1987 - May 8, 1989
EMANUEL AND COMPANY
March 19, 1985 - December 16, 1985
BUTCHER & SINGER INC.
August 24, 1983 - December 26, 1984
BEVILL, BRESLER & SCHULMAN INCORPORATED
September 4, 1980 - August 17, 1983
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
July 2, 1976 - October 6, 1978
MUNICIPAL INVESTORS SERVICE, INC.
September 23, 1969 - August 5, 1973
EDWARDS & HANLY
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: 9/19/1969
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
