Thomas A. Monsour
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 Anthony Monsour, who also goes by Tony Monsour, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1966. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2007 - January 23, 2020
LEIGH BALDWIN & CO., LLC
October 19, 2005 - January 22, 2007
RBC CAPITAL MARKETS, LLC
December 16, 2004 - January 22, 2007
RBC CAPITAL MARKETS, LLC
May 28, 1985 - January 14, 2005
JANNEY MONTGOMERY SCOTT LLC
February 22, 1980 - May 31, 1985
MORGAN STANLEY DW INC.
May 30, 1974 - May 10, 1976
E. F. HUTTON & COMPANY INC
August 30, 1966 - June 13, 1974
BACHE & CO INCORPORATED
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
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 5
Date: 1/29/1982
Interest Rate Options ExaminationPC
Date: 2/16/1980
AMEX Put and Call ExamSeries 1
Date: 8/29/1966
Registered Representative ExaminationSeries 8
Date: 10/5/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 756 |
| AUM (Assets Under Management) | $ 285,522,208 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 1 |
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.
