Thomas M. Pronesti
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 Michael Pronesti was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 7 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2001 - January 11, 2005
CARDINAL CAPITAL MANAGEMENT, INC.
January 13, 2000 - July 24, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
August 31, 1998 - January 13, 2000
FAS WEALTH MANAGEMENT SERVICES, INC.
September 10, 1992 - August 31, 1998
BILTMORE SECURITIES, INC.
September 8, 1989 - April 3, 1992
G. R. PHELPS & CO., INC.
October 30, 1980 - June 13, 1989
MONARCH SECURITIES, INC.
March 14, 1974 - September 6, 1974
INDEPENDENT FINANCIAL PLANNERS CORPORATION
July 2, 1973 - April 18, 1974
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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: 10/15/1980
Registered Representative ExaminationCurrent Firm
CARDINAL CAPITAL MANAGEMENT, INC.
CRD#: 24605 / SEC#: , 8-41272
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
