Thomas J. Carey
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 James Carey JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 18 firms and has passed the Series 63, Series 1, Series 27 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
December 12, 1994 - March 1, 1995
PCH SECURITIES, INC.
January 28, 1992 - April 9, 1998
DALY INVESTMENT CO.
October 12, 1988 - February 10, 1990
DALY INVESTMENT CO.
May 31, 1988 - August 30, 1988
AMERICAN FRONTEER FINANCIAL CORPORATION
July 29, 1986 - June 3, 1988
DALY INVESTMENT CO.
May 22, 1986 - July 10, 1986
BROOK INVESTMENTS, INC.
January 13, 1986 - April 21, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
April 5, 1984 - October 8, 1984
PRESCOTT, BALL & TURBEN, INC.
May 3, 1983 - February 2, 1984
CIBC WORLD MARKETS CORP.
August 4, 1982 - August 18, 1982
MUNICICORP OF CALIFORNIA
December 16, 1980 - January 31, 1982
COLLIERS SECURITIES LLC
February 20, 1980 - January 8, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 1979 - February 18, 1980
BECKER PARIBAS INCORPORATED
January 18, 1978 - August 20, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
July 22, 1974 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
November 9, 1973 - August 15, 1974
ROBERT W. BAIRD & CO. INCORPORATED
January 30, 1973 - December 7, 1973
CLARK, DODGE & CO., INCORPORATED
February 11, 1972 - March 15, 1973
LOMBARD, NELSON & MCKENNA, INC
May 19, 1970 - February 17, 1972
HALLGARTEN CO
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: 8/5/1968
Registered Representative ExaminationCurrent Firm
PCH SECURITIES, INC.
CRD#: 35661 / SEC#: , 8-46890
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HURLEY, FRANKLIN TIMOTHY | PRESIDENT | 253702 |
| APPELBAUM, NEAL | FINANCIAL AND OPERATIONS PRINCIPAL |
Disclosures
| Regulatory Event | 1 |
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.
