Thomas J. Chippas
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 J Chippas was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 6 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 57, Series 7, Series 55 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 24, 2023 - November 10, 2023
BROADHAVEN SECURITIES LLC
August 1, 2020 - November 30, 2021
RAPID EXECUTION SERVICES, LLC
September 19, 2017 - September 7, 2018
CITIGROUP GLOBAL MARKETS INC.
August 16, 2010 - October 2, 2014
BARCLAYS CAPITAL INC.
July 6, 2006 - August 20, 2010
DEUTSCHE BANK SECURITIES INC.
September 9, 2004 - July 7, 2006
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/2/2022
General Securities Representative ExaminationSeries 57TO
Date: 12/2/2022
Securities Trader ExamSeries 55
Date: 6/15/2010
Limited Representative-Equity Trader ExamCurrent Firm
BROADHAVEN SECURITIES LLC
CRD#: 157804 / SEC#: , 8-68862
Contact information
FINRA licenses (28 States and Territories)
Documents
Red Flags
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