Thomas J. Radice
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 John Radice, who also goes by Thomas John Radice Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2016 - August 1, 2016
TD AMERITRADE, INC.
April 6, 2016 - August 1, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 16, 2016 - August 1, 2016
TD AMERITRADE, INC.
January 15, 2014 - February 20, 2014
CHELSEA FINANCIAL SERVICES
September 21, 2012 - September 4, 2013
LPL FINANCIAL LLC
July 21, 2011 - September 24, 2012
PRUCO SECURITIES, LLC.
November 6, 2006 - August 4, 2010
CHASE INVESTMENT SERVICES CORP.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
