Thomas R. Wojciechowski
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 Robert Wojciechowski was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 5 firms and has passed the Series 66, SIE 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
May 9, 2007 - May 1, 2018
EQUITABLE DISTRIBUTORS, LLC
October 20, 2004 - March 19, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 19, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 19, 2004 - October 20, 2004
QUICK & REILLY, INC.
August 19, 2004 - October 20, 2004
QUICK & REILLY, INC.
June 17, 2003 - August 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 17, 2003 - August 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 3, 2002 - June 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2001 - June 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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