Thomas A. Petrie
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 Andrews Petrie was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 7TO, SIE, Series 87, Series 1, Series 24, Series 4, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - May 31, 2023
PETRIE PARTNERS SECURITIES, LLC
December 19, 2006 - April 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 1990 - May 10, 2007
ML PETRIE PARKMAN CO., INC.
December 5, 1977 - March 6, 1989
CREDIT SUISSE SECURITIES (USA) LLC
January 11, 1977 - December 12, 1977
NORMANDY SECURITIES INCORPORATED
June 26, 1974 - February 4, 1977
H.C.WAINWRIGHT & CO., LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 6/24/1974
Registered Representative ExaminationSeries 40
Date: 1/29/1976
Registered Principal ExaminationCurrent Firm
PETRIE PARTNERS SECURITIES, LLC
CRD#: 131783 / SEC#: , 8-66503
Contact information
FINRA licenses (5 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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