Thomas J. Wanasek
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 Joseph Wanasek, who also goes by Tom Wanasek, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 15 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2007 - July 9, 2015
FIRST WESTERN SECURITIES, INC.
October 20, 2000 - February 8, 2007
SIGNATOR FINANCIAL SERVICES, INC.
April 17, 1998 - October 23, 2000
FIMI SECURITIES, INC.
January 30, 1997 - October 17, 1997
FISERV INVESTOR SERVICES, INC.
December 2, 1996 - January 27, 1997
TRADESTAR INVESTMENTS,INC.
January 4, 1993 - December 13, 1996
WORLD CHOICE SECURITIES, INC.
February 19, 1992 - March 8, 1993
FIRST WESTERN SECURITIES, INC.
March 17, 1990 - February 14, 1991
THE CHAPMAN CO.
February 8, 1990 - March 2, 1990
MAY FINANCIAL CORPORATION
August 25, 1988 - February 13, 1990
DOVIAK SECURITIES, INC.
August 4, 1986 - August 25, 1988
ALEX. BROWN & SONS INCORPORATED
June 26, 1984 - August 11, 1986
LEHMAN BROTHERS INC.
April 3, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 4, 1981 - March 25, 1987
CITIGROUP GLOBAL MARKETS INC.
April 21, 1980 - December 5, 1981
TOWER SQUARE SECURITIES, INC.
September 19, 1972 - May 2, 1980
MILWAUKEE EQUITY SERVICES, 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 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 1
Date: 9/15/1972
Registered Representative ExaminationCurrent Firm
FIRST WESTERN SECURITIES, INC.
CRD#: 19537 / SEC#: 801-70430, 8-37613
Contact information
FINRA licenses (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 36 |
| AUM (Assets Under Management) | $ 41,715,412 |
Disclosures
| Regulatory Event | 5 |
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.
