Thomas K. Wasserman
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 Kenneth Wasserman, who also goes by Tom Wasserman, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1967. Thomas had worked at 7 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, PC, Series 1, Series 53, Series 28 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
January 13, 2010 - December 12, 2025
MOLONEY SECURITIES CO., INC.
December 20, 1999 - January 4, 2010
WASSERMAN & ASSOCIATES, INC.
February 22, 1991 - December 31, 1999
THOS. K. WASSERMAN & ASSOCIATES, INC.
September 11, 1978 - April 1, 1991
EDWARD JONES
February 24, 1978 - September 15, 1978
MORGAN STANLEY DW INC.
May 21, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
April 25, 1967 - June 16, 1973
DUPONT WALSTON, INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 5/16/1962
Registered Representative ExaminationSeries 28
Date: 1/2/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
