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TG

Thomas P. Gorman

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CRD#: 3144585
TG

Professional summary

Thomas Patrick Gorman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Thomas had worked at 2 firms, which includes WEBSTER INVESTMENT SERVICES INC., IFMG SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 15, 1999 - November 5, 1999

WEBSTER INVESTMENT SERVICES, INC.

BD
CRD#: 46588
KENSINGTON, CT
Past

November 25, 1998 - July 15, 1999

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, 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
RR
Series 63
Date: 12/2/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 11/19/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WI
WEBSTER INVESTMENT SERVICES, INC.
WEBSTER INVESTMENT SERVICES, INC | WEBSTER INVESTMENT SERVICES, INC.

CRD#: 46588 / SEC#: , 8-51465

BD
Terminated by SEC on 04/28/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 09/22/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WEBSTER BANKSOLE SHARE-HOLDER
BROMAGE, WILLIAM THOMASCHAIRMAN1640427
HASKINS, CATHERINE MARIESVP/COO1612987
HOWE, THOMAS NILESPRESIDENT/DIRECTOR2260217
PAZARESKIS, JAMES CHARLESCCO1247590
SMITH, JAMES COPENHAVERDIRECTOR; EX OFFICIO3165998
TASDELEN, ARZUTREASURER

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

WEBSTER INVESTMENT SERVICES, INC.

CRD#: 46588

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