Thomas Burnett
Professional summary
Thomas Burnett, CFA is a registered financial professional currently at WALL STREET ACCESS located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1972. Thomas has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, Series 7TO, SIE, Series 87, Series 16, PC, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Burnett's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 2, 1993 - Present
WALL STREET ACCESS
Office #1: 100 Wall Street, Suite 804, New York, NY 10005August 30, 1978 - March 23, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 27, 1972 - August 25, 1978
L. F. ROTHSCHILD & 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
(12/2/1993)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 10/6/1978
AMEX Put and Call ExamSeries 1
Date: 9/25/1972
Registered Representative ExaminationSeries 12
Date: 10/16/1982
NYSE Branch Manager ExaminationSeries 40
Date: 2/3/1977
Registered Principal ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
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