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TK

Thomas J. Kigin

Some features on this profile are disabled
CRD#: 4134681
TK

Professional summary

Thomas Joseph Kigin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Thomas had worked at 1 firm, which includes PUGLISI & CO..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 15, 2000 - April 6, 2000

PUGLISI & CO.

BD
CRD#: 19451
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/5/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/2000
General Securities Representative Examination

Current Firm

P&
PUGLISI & CO.
ARIZONA SECURITIES GROUP, INC. | WAFCO SECURITIES GROUP, INC. | PUGLISI HOWELLS & CO. | PUGLISI & CO. | KINGS ROAD SECURITIES, INC. | KAREN A. HATCHER, INC.

CRD#: 19451 / SEC#: , 8-37682

BD
Terminated by SEC on 08/24/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/10/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PUGLISI, JEFFREY JOSEPHPRESIDENT, CHIEF COMPLIANCE OFFICER1576703
ZUCKER, BRIAN FREDFINOP1484733

Disclosures

Regulatory Event2

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.

Company Information

PUGLISI & CO.

CRD#: 19451

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