Thomas C. Buckley
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 C Buckley, who also goes by Thomas Christian Buckley, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2014 - July 11, 2019
KINECTA FINANCIAL & INSURANCE SERVICES
July 14, 2014 - December 31, 2023
LPL FINANCIAL LLC
July 14, 2014 - December 31, 2023
LPL FINANCIAL LLC
March 6, 2012 - July 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2012 - July 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 2011 - March 7, 2012
WADDELL & REED
November 18, 2011 - March 7, 2012
WADDELL & REED
October 20, 2008 - November 22, 2011
EDWARD JONES
October 20, 2008 - November 22, 2011
EDWARD JONES
December 5, 2005 - September 19, 2007
UBS FINANCIAL SERVICES INC.
November 15, 2005 - September 19, 2007
UBS FINANCIAL SERVICES INC.
June 29, 2004 - December 6, 2005
MBSC, LLC
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
KINECTA FINANCIAL & INSURANCE SERVICES
CRD#: 136597 / SEC#: , 8-67028
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KINECTA FINANCIAL MANAGEMENT CO, LLC | OWNER | |
| ELIA, GREGORY BAUDENBACH | CFO/FINOP/CEO/CCO/AMLCO | 5586060 |
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.
