Thomas K. Tierney
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 Keane Tierney was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 11 firms and has passed the Series 63, Series 5, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2010 - December 31, 2013
FORTUNE FINANCIAL SERVICES, INC.
August 3, 2009 - June 18, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 30, 1993 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 30, 1993 - June 18, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 29, 1988 - December 3, 1993
J.C. BRADFORD & CO.
October 14, 1988 - December 1, 1988
WACHOVIA SECURITIES, INC.
May 9, 1985 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
May 9, 1978 - May 28, 1985
THE ROBINSON-HUMPHREY COMPANY, LLC
February 24, 1978 - June 12, 1978
MORGAN STANLEY DW INC.
July 9, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
February 11, 1972 - September 1, 1973
DUPONT WALSTON, INCORPORATED
July 24, 1970 - March 2, 1972
F I DUPONT GLORE FORGAN & CO
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 11/15/1968
Registered Representative ExaminationSeries 40
Date: 11/13/1972
Registered Principal ExaminationSeries 12
Date: 11/9/1972
NYSE Branch Manager ExaminationCurrent Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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