John H. Thumser
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.
John Henry Thumser, who also goes by Harry Thumser, John Harry Thumser, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1961. John had worked at 9 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 1998 - December 11, 2015
NORTHEAST SECURITIES, LLC
February 19, 1997 - November 30, 1998
SANDGRAIN SECURITIES LLC
January 20, 1984 - February 10, 1997
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - January 26, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 12, 1975 - June 27, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 24, 1974 - April 30, 1975
IRVING H. LEDERMAN CO.
January 26, 1973 - June 18, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
May 1, 1969 - March 14, 1973
DEAN WITTER & CO. INCORPORATED
May 26, 1961 - March 12, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 5/26/1961
Registered Representative ExaminationCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
