Thomas M. Lyden
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 Micheal Lyden, who also goes by Thomas Michael Lyden, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 3 firms and has passed the Series 63, Series 7, Series 25 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2003 - July 28, 2003
LABRANCHE FINANCIAL SERVICES, LLC
October 1, 2000 - November 13, 2013
DRU STOCK, INC.
May 8, 2000 - January 29, 2001
LABRANCHE FINANCIAL SERVICES, LLC
January 1, 1999 - February 18, 2000
TIJA MANAGEMENT, 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
Series 25
Date: 6/22/1999
NYSE Trading Assistant ExaminationSeries 12
Date: 2/27/2002
NYSE Branch Manager ExaminationCurrent Firm
LABRANCHE FINANCIAL SERVICES, LLC
CRD#: 7432 / SEC#: , 8-19060
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LABRANCHE & CO. INC | OWNER | |
| BURKE, WILLIAM JOSEPH III | CEO | 848502 |
| HAYWARD, ALFRED OWEN JR | DIRECTOR | 2355580 |
| LABRANCHE, GEORGE MICHAEL IV | CHAIRMAN | 2355575 |
| MCCUTCHEON, JEFFREY ALLEN | DIRECTOR | 4586231 |
| OHARE, MICHAEL | MANAGING DIRECTOR | 2120129 |
| TONER, KATHLEEN M | ACTING CHIEF COMPLIANCE OFFICER | 1254334 |
| VESPOLI, ALBERT BENJAMIN | CHIEF FINANCIAL OFFICER | 2447839 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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