Thomas W. Clegg
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 Wylie Clegg was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 9 firms and has passed the Series 63, Series 5 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1999 - June 27, 2003
GOLDMAN SACHS CUSTODY SOLUTIONS
February 5, 1999 - September 15, 1999
FIRST CLEARING, LLC
November 29, 1988 - February 5, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 11, 1984 - July 14, 1988
CARLYLE & CHRISTIE CAPITAL INC.
June 6, 1984 - August 27, 1984
AUSTIN, DAVENPORT ASSOCIATES, INC.
November 18, 1983 - March 23, 1984
CHAPDELAINE SECURITIES, INC.
November 17, 1983 - March 21, 1984
FIRST MERCHANTS ENTERPRISES, INC.
April 14, 1978 - November 19, 1987
HAAS SECURITIES CORPORATION
March 17, 1970 - July 13, 1988
PURCELL GRAHAM 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 5
Date: 1/28/1982
Interest Rate Options ExaminationSeries 40
Date: 3/6/1970
Registered Principal ExaminationCurrent Firm
GOLDMAN SACHS CUSTODY SOLUTIONS
CRD#: 48015 / SEC#: , 8-52009
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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