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Thomas J. Feight

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CRD#: 3169520
TF

Professional summary

Thomas Jayson Feight 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 2001. Prior to being barred, Thomas had worked at 3 firms, which includes BROCKINGTON SECURITIES INC., YANKEE FINANCIAL GROUP INC., PRESTON LANGLEY ASSET MANAGEMENT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tommy Feight

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 11, 2002 - February 24, 2003

BROCKINGTON SECURITIES, INC.

BD
CRD#: 37438
RONKONKOMA, NY
Past

October 9, 2001 - September 12, 2002

YANKEE FINANCIAL GROUP, INC.

BD
CRD#: 17966
MELVILLE, NY
Past

March 9, 2001 - April 24, 2001

PRESTON LANGLEY ASSET MANAGEMENT, INC.

BD
CRD#: 35733
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
RR
Series 63
Date: 3/24/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2001
General Securities Representative Examination

Current Firm

BS
BROCKINGTON SECURITIES, INC.
BROCKINGTON SECURITIES | BROCKINGTON SECURITIES, INC.

CRD#: 37438 / SEC#: , 8-47749

BD
Terminated by SEC on 07/18/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/15/1994
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DELVECCHIO, ROBERT JAMES JRPRESIDENT/SECRETARY CCO/AMLCOMPLIANCE OFFICER/COMPLIANCE OFFICER1649770
CARDELLO, MICHAEL SAMFINOP718970
HAYDE, WILLIAM CHARLESDIRECTOR OF CORPORATE FINANCE723867

Disclosures

Regulatory Event5

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

BROCKINGTON SECURITIES, INC.

CRD#: 37438

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