Thomas J. Tagliamonte
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 John Tagliamonte, who also goes by -, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 9 firms and has passed the Series 65, Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2004 - June 18, 2013
JOHN HANCOCK DISTRIBUTORS LLC
June 30, 2000 - June 17, 2013
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
August 14, 1998 - June 19, 2013
SIGNATOR INVESTORS, INC.
February 14, 1998 - August 18, 1998
BERKSHIRE EQUITY SALES, INC.
August 29, 1994 - December 31, 1997
WALNUT STREET SECURITIES, INC.
September 15, 1993 - May 26, 1994
NATIXIS DISTRIBUTION, LLC
February 1, 1984 - September 15, 1993
TNE INVESTMENT SERVICES CORPORATION
April 8, 1974 - September 10, 1975
L. S. CORPORATION C/O NEL EQUITY SERVICES CORP.
May 22, 1969 - December 19, 1995
NEW ENGLAND SECURITIES
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: 10/22/1968
Registered Representative ExaminationSeries 00
Date: 5/6/1969
General Securities Principal ExaminationCurrent Firm
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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