Thomas A. Demarco
Professional summary
Thomas Anthony Demarco was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial advisor and started their career in finance in 2002. Prior to being barred, Thomas had worked at 2 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., MORGAN STANLEY DW INC..
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2005 - March 23, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 18, 2004 - March 23, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 6, 2003 - October 21, 2004
MORGAN STANLEY DW INC.
December 6, 2002 - October 21, 2004
MORGAN STANLEY DW 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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR, CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
| ZOLPER, ANDREW CANNING | DIRECTOR | 5304616 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
