Thomas S. Pai
Professional summary
Thomas S Pai is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 8 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas S Pai's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2023 - Present
APOLLO GLOBAL SECURITIES, LLC
Office #1: 151 W 42nd Street 5th Floor, New York, NY 10036May 31, 2011 - February 16, 2023
CREDIT SUISSE SECURITIES (USA) LLC
September 22, 2009 - June 27, 2011
BARCLAYS CAPITAL INC.
May 15, 2007 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 2004 - April 23, 2007
CITIGROUP GLOBAL MARKETS INC.
September 2, 2003 - July 1, 2004
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 2, 2003 - July 1, 2004
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 30, 2003 - September 10, 2003
OSAIC FA, INC.
November 8, 2002 - September 10, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 8, 2002 - September 10, 2003
OSAIC FA, 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
(2/9/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
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.
