Thomas Nasta
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 Nasta was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 5 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2002 - March 26, 2025
PERSONAL FINANCIAL PLANNING INC.
April 24, 1995 - July 26, 2002
NATHAN & LEWIS SECURITIES, INC.
August 26, 1993 - April 20, 1998
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 21, 1983 - February 28, 1995
NATHAN & LEWIS SECURITIES, INC.
February 14, 1972 - February 9, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
February 14, 1972 - February 9, 1983
MONY SECURITIES CORPORATION
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 1
Date: 5/15/1968
Registered Representative ExaminationCurrent Firm
PERSONAL FINANCIAL PLANNING INC.
CRD#: 118589 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 151 |
| AUM (Assets Under Management) | $ 18,125,707 |
Red Flags
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