Thomas P. Cleary
Professional summary
Thomas Patrick Cleary is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2010. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Patrick Cleary's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2022 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528August 20, 2014 - December 6, 2022
EMPOWER FINANCIAL SERVICES, INC.
May 30, 2012 - July 31, 2014
CAMMACK RETIREMENT GROUP
October 25, 2010 - July 31, 2014
CAMMACK LARHETTE BROKERAGE, 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
(12/7/2022)
Exams
FINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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