Tomie Tanaka
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.
Tomie Tanaka, who also goes by Tamie Tanaka, was a registered financial professional .
Tomie is a previously registered financial professional and started their career in finance in 1974. Tomie had worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 7TO, SIE, Series 72, Series 55, Series 3, Series 5, Series 1, Series 27, Series 24, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2015 - June 9, 2021
EVERCORE GROUP L.L.C.
June 6, 2002 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
April 4, 2000 - May 6, 2002
WEATHERLY SECURITIES CORPORATION
July 3, 1974 - December 31, 2000
NEW JAPAN SECURITIES INTERNATIONAL 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 72
Date: 10/20/1998
Government Securities Representative ExaminationSeries 55
Date: 8/17/1998
Limited Representative-Equity Trader ExamSeries 5
Date: 6/20/1983
Interest Rate Options ExaminationSeries 1
Date: 7/1/1974
Registered Representative ExaminationF04
Date: 9/29/1977
Financial Principal ExaminationSeries 40
Date: 6/27/1977
Registered Principal ExaminationCurrent Firm
EVERCORE GROUP L.L.C.
CRD#: 42405 / SEC#: , 8-49830
Contact information
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERCORE BD INVESTCO L.L.C. | MANAGING MEMBER | |
| BRYSON, NANCY CLAIRE | CHIEF OPERATING OFFICER | 1978165 |
| CROWE, JOHN CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2494752 |
| FUND, LISA K | PRINCIPAL OPERATIONS OFFICER | 5008055 |
| LALONDE, TIMOTHY GILBERT | CHIEF FINANCIAL OFFICER | 2270483 |
| MARTINEZ, MICHAEL | CHIEF OPERATING OFFICER - EVERCORE ISI | 5100611 |
| MASOTTI, KENNETH ALFRED | CHIEF LEGAL OFFICER | 4436810 |
| MYERS, JENNA | PRINCIPAL OPERATIONS OFFICER | 4582020 |
| PALIOTTA, MICHAEL JOSEPH | CHIEF EXECUTIVE OFFICER OF EVERCORE ISI | 2079036 |
| PENSA, PAUL | CHIEF FINANCIAL OFFICER/FINOP | 2119683 |
| WEINBERG, JOHN | CHIEF EXECUTIVE OFFICER | 2061177 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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