Thomas I. Unterberg
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 Israel Unterberg was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1965. Thomas had worked at 5 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2009 - January 15, 2010
MERRIMAN CAPITAL, INC.
July 28, 1989 - January 15, 2008
CANACCORD GENUITY SECURITIES LLC
April 15, 1987 - May 13, 1989
LEHMAN BROTHERS INC.
March 25, 1977 - January 16, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
October 1, 1965 - April 7, 1977
C. E. UNTERBERG, TOWBIN 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 1
Date: 5/15/1956
Registered Representative ExaminationCurrent Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
Red Flags
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