Thomas J. Parkins
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 Joseph Parkins, who also goes by Thomas Joseph Pinczkowski, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1968. Thomas had worked at 17 firms and has passed the Series 66, Series 63, Series 31, Series 5, Series 1, Series 40, Series 4 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
June 25, 2014 - March 17, 2016
CERTITUDE ADVISORS, LLC
August 2, 2011 - July 26, 2013
ROBERT W. BAIRD & CO. INCORPORATED
August 2, 2011 - July 26, 2013
ROBERT W. BAIRD & CO. INCORPORATED
August 25, 2010 - June 6, 2011
SPYGLASS SECURITIES, LLC
September 15, 2009 - July 19, 2010
CHICAGO INVESTMENT GROUP ADVISORS, LLC
April 6, 2009 - September 4, 2009
CHICAGO INVESTMENT GROUP, LLC
April 6, 2009 - July 19, 2010
CHICAGO INVESTMENT GROUP, LLC
August 12, 2006 - April 21, 2008
UBS FINANCIAL SERVICES INC.
August 12, 2006 - April 21, 2008
UBS FINANCIAL SERVICES INC.
July 12, 2004 - August 12, 2006
PIPER SANDLER & CO.
February 20, 2002 - August 12, 2006
PIPER SANDLER & CO.
October 13, 2000 - October 11, 2001
LEHMAN BROTHERS INC.
July 1, 1998 - October 30, 2000
COWEN AND COMPANY
April 7, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
July 19, 1988 - April 11, 1995
CIBC WORLD MARKETS CORP.
August 27, 1984 - July 21, 1988
MORGAN STANLEY & CO. LLC
May 3, 1982 - August 20, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
November 15, 1978 - May 14, 1982
J.P. MORGAN SECURITIES LLC
August 6, 1974 - December 14, 1978
E. F. HUTTON & COMPANY INC
May 18, 1973 - August 15, 1974
WOOD STRUTHERS & WINTHROP INC
May 17, 1968 - May 23, 1973
ROBERT W. BAIRD & CO. INCORPORATED
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: 1/11/1984
Interest Rate Options ExaminationSeries 1
Date: 5/15/1968
Registered Representative ExaminationSeries 40
Date: 5/8/1978
Registered Principal ExaminationSeries 12
Date: 7/1/1974
NYSE Branch Manager ExaminationCurrent Firm
CERTITUDE ADVISORS, LLC
CRD#: 171228 / SEC#: 801-79644
Contact information
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 80,175,689 |
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.
