Thomas A. Pierdominici
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 Angelo Pierdominici, who also goes by Thomas A Pierdominici, Tom Pierdominici, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 11 firms and has passed the Series 63, PC 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
October 23, 2000 - December 13, 2001
LIFEMARK SECURITIES CORP.
November 21, 1997 - September 27, 1999
WMA SECURITIES, INC.
June 3, 1996 - September 11, 1997
WOODBURY FINANCIAL SERVICES, INC.
July 8, 1994 - November 3, 1994
FAS WEALTH MANAGEMENT SERVICES, INC.
August 27, 1993 - July 5, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 1, 1993 - September 7, 1993
JOSEPHTHAL & CO., INC.
June 1, 1989 - March 25, 1991
LPL FINANCIAL LLC
February 21, 1989 - May 8, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
February 25, 1986 - January 9, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 14, 1983 - April 4, 1985
LEHMAN BROTHERS INC.
June 18, 1974 - March 15, 1983
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
PC
Date: 2/10/1986
AMEX Put and Call ExamSeries 1
Date: 6/13/1974
Registered Representative ExaminationCurrent Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
