Thomas C. Souran
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 Christopher Souran SR, who also goes by Thomas C Souran, Thomas Christopher Souran, Thomas Christopher Sovran Sr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1966. Thomas had worked at 13 firms and has passed the Series 63, Series 7, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2002 - July 30, 2003
S. B. CANTOR & CO., INC.
October 7, 1996 - March 27, 1997
MATRIX SECURITIES CORPORATION
February 10, 1995 - March 12, 1996
JOSEPHTHAL & CO., INC.
May 7, 1992 - January 26, 1995
BERKELEY SECURITIES CORPORATION
November 6, 1991 - April 22, 1992
LCP CAPITAL CORP.
June 6, 1991 - October 22, 1991
JOSEPHTHAL & CO., INC.
October 26, 1989 - June 18, 1991
MANCHESTER RHONE SECURITIES CORP.
February 18, 1987 - July 13, 1989
JOSEPHTHAL & CO., INC.
May 5, 1986 - January 1, 1987
HAAS SECURITIES CORPORATION
March 18, 1985 - July 13, 1989
JOSEPHTHAL & CO., INC.
July 25, 1983 - January 25, 1985
S. D. COHN & CO.
April 16, 1981 - August 8, 1983
UNIFIED SECURITIES CORPORATION
April 10, 1981 - December 28, 1982
S. D. COHN & CO.
March 20, 1980 - April 27, 1981
G. K. SCOTT & CO., INC.
May 26, 1975 - November 9, 1975
E L AARON & COMPANY INC
March 13, 1974 - July 31, 1975
HENDERSON, WOLL & CO., INC.
November 23, 1966 - March 3, 1972
HANCOCK SECURITIES CORPORATION
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
PC
Date: 3/15/1980
AMEX Put and Call ExamSeries 1
Date: 2/12/1960
Registered Representative ExaminationCurrent Firm
S. B. CANTOR & CO., INC.
CRD#: 1384 / SEC#: , 8-16563
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Civil Event | 1 |
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.
