Thomas S. Nolin
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 Sean Nolin, who also goes by Thomas S Nolin, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 11 firms and has passed the Series 63, Series 66, Series 55, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2013 - October 1, 2013
TRANSAMERICA INVESTORS SECURITIES, LLC
December 20, 2011 - February 16, 2012
T3 TRADING GROUP, LLC
June 22, 2009 - July 7, 2010
TAFFERER TRADING, LLC
January 2, 2008 - January 8, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
July 6, 2006 - November 29, 2007
E*TRADE SECURITIES LLC
May 17, 2006 - July 12, 2006
G-2 TRADING,LLC
August 19, 2004 - February 1, 2005
J. B. HANAUER & CO.
November 10, 2003 - January 2, 2004
LAVAFLOW, INC.
March 3, 2003 - March 12, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
February 12, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
June 19, 2001 - January 8, 2002
AMERIPRISE ADVISOR SERVICES, INC.
June 21, 2000 - February 1, 2001
MORGAN STANLEY DW 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 55
Date: 11/28/2003
Limited Representative-Equity Trader ExamCurrent Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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