Thomas G. Cecchi
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 George Cecchi, who also goes by Tom Cecchi, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 1990 - June 15, 1992
WOODWARD SECURITIES CORPORATION
May 1, 1987 - November 4, 1987
MARINER FINANCIAL SERVICES, INC.
November 27, 1985 - July 3, 1990
CARILLON INVESTMENTS, INC.
September 18, 1985 - October 7, 1986
MUTUAL SERVICE CORPORATION
April 10, 1979 - September 26, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
April 10, 1979 - September 26, 1983
MONY SECURITIES CORPORATION
April 4, 1975 - May 9, 1979
EQUITY SERVICES, INC.
December 3, 1973 - July 4, 1975
SII INVESTMENTS, 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 1
Date: 11/28/1973
Registered Representative ExaminationCurrent Firm
WOODWARD SECURITIES CORPORATION
CRD#: 25579 / SEC#: , 8-41870
Contact information
Documents
Red Flags
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