Bryan J. Tomasulo
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.
Bryan J Tomasulo, who also goes by Bryan J. Tomasulo, Bryan Jude Tomasulo, Bryan Tomasulo, Bryan Tomasulo, was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 2000. Bryan had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 7A, Series 25 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2008 - June 6, 2012
MAXIM GROUP LLC
August 24, 2007 - March 3, 2008
HLA SECURITIES INC
June 1, 2004 - July 24, 2008
TAG SECURITIES CORP.
November 5, 2003 - May 28, 2004
TOMASULO, ROBERT, SOLE PROPRIETOR
October 1, 2000 - November 27, 2002
TOMEX INC.
October 1, 2000 - November 4, 2003
HLA SECURITIES 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: 7/10/2007
Limited Representative-Equity Trader ExamSeries 7A
Date: 4/24/2002
Floor Broker Representative ExamSeries 25
Date: 3/26/2001
NYSE Trading Assistant ExaminationCurrent Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| 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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