Thomas J. Stott
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 John Stott, who also goes by T.j. Stott, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 16 firms and has passed the Series 63, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2014 - May 7, 2014
LAMPERT CAPITAL MARKETS INC.
April 4, 2013 - February 21, 2014
SRT SECURITIES LLC
August 30, 2012 - January 28, 2013
DASH FINANCIAL TECHNOLOGIES LLC
June 7, 2012 - September 19, 2012
WORLD-XECUTION STRATEGIES
March 30, 2011 - February 28, 2012
VIRTU AMERICAS LLC
August 30, 2010 - April 26, 2011
CAVU SECURITIES LLC
April 30, 2010 - July 23, 2010
ELEVATION, LLC
July 9, 2009 - April 20, 2010
LEDGEMONT CAPITAL MARKETS LLC
August 27, 2008 - July 2, 2009
WELLS FARGO PRIME SERVICES, LLC
February 7, 2007 - May 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 2005 - October 7, 2005
NATIONWIDE PLANNING ASSOCIATES INC.
March 15, 2005 - July 25, 2005
ABSOLUTE RETURN ADVISORS, LTD.
July 17, 2002 - February 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2002 - July 18, 2002
LABRANCHE FINANCIAL SERVICES, LLC
April 18, 2002 - July 8, 2002
ETHOS SECURITIES SP
March 16, 2001 - April 17, 2002
COWEN AND COMPANY
January 31, 2001 - February 26, 2001
UBS SECURITIES LLC
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 25
Date: 11/1/2001
NYSE Trading Assistant ExaminationCurrent Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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