Tommy N. Sausley
Professional summary
Tommy Ned Sausley is a registered financial advisor currently at TOMMY N SAUSLEY, RIA located in League City, Texas.
Tommy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1968. Tommy has worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tommy Ned Sausley's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2021 - Present
TOMMY N SAUSLEY, RIA
May 9, 2012 - December 31, 2020
TOMMY N SAUSLEY, RIA
January 20, 2010 - March 1, 2012
SAUSLEY SECURITIES, INC.
October 27, 2006 - January 10, 2008
CITIGROUP GLOBAL MARKETS INC.
October 27, 2006 - January 10, 2008
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - October 31, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - October 31, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 23, 1983 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 16, 1977 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 26, 1968 - February 27, 1976
BACHE & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/21/2021)
Exams
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 6/24/1968
Registered Representative ExaminationCurrent Firm
TOMMY N SAUSLEY, RIA
CRD#: 145501 / SEC#: 801-68478
Contact information
Regulatory assets under management
| Total Number of Accounts | 29 |
| AUM (Assets Under Management) | $ 28,000,000 |
Red Flags
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