Thomas L. Minick
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 Lowell Minick was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2005. Thomas had worked at 2 firms and has passed the Series 63, SIE, Series 79 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
May 15, 2013 - October 24, 2023
COMMENDA SECURITIES, LLC
January 3, 2005 - February 2, 2005
CAIN BROTHERS & COMPANY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMMENDA SECURITIES, LLC
CRD#: 164664 / SEC#: , 8-69111
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMENDA INC. | MEMBER FIRM | |
| SHEEHAN, TIMOTHY JAMES | MANAGING DIRECTOR AND PRINCIPAL, CEO, CCO | 2546510 |
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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