Thomas A. Carney
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 Anthony Carney was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 9 firms and has passed the 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
October 29, 2010 - December 13, 2012
BRIGHT TRADING, LLC
October 30, 2007 - October 24, 2008
AMERIPRISE ADVISOR SERVICES, INC.
October 29, 2007 - October 24, 2008
AMERIPRISE ADVISOR SERVICES, INC.
July 19, 2005 - July 26, 2007
VANGUARD MARKETING CORPORATION
August 31, 2004 - April 19, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
March 17, 2003 - August 19, 2003
TAFFERER TRADING, LLC
March 3, 2003 - March 11, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
March 20, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
March 15, 2002 - March 27, 2002
WORLDCO, L.L.C.
August 14, 2001 - March 14, 2002
ELECTRONIC TRADING GROUP, LLC
June 5, 2001 - September 17, 2001
WORLDCO, L.L.C.
December 12, 2000 - May 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: 6/30/2001
Limited Representative-Equity Trader ExamCurrent Firm
BRIGHT TRADING, LLC
CRD#: 34702 / SEC#: , 8-44990
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIGHT INVESTMENTS, LLC | MANAGING MEMBER | |
| ARLINSKY, KOSTA | TRADER | 5510518 |
| ARLINSKY, STEVE | TRADER | 5510563 |
| JONES, KEN ANDO | TRADER | 5512985 |
| SORGIC, SINISA | TRADER | 5513001 |
| ANDERSON, DIANA ELIZABETH | COMPLIANCE DIRECTOR/ CHIEF COMPLIANCE OFFICER | 4894089 |
| BRIGHT, ROBERT ALVIN | CEO, CFO | 1148394 |
| CHAN, STEPHEN KEI ON | TRADER | 5571223 |
| FRIESEN, ROBIN DALE | PRESIDENT/CHIEF OPERATING OFFICER | 5518030 |
| ROSS, CHRISTINE ANGEL | CFO, FINOP | 5512412 |
| SHILLETTO, ANDREW E MR. | TRADER | 4793136 |
| WALENTINY, CARLO ANNE JOSEPH | TRADER | 5518113 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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