Thomas Maglia
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 Maglia, who also goes by Thomas Joseph Maglia, Tj Maglia, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2008. Thomas had worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55 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
December 9, 2024 - December 31, 2024
TD SECURITIES (USA) LLC
November 23, 2023 - December 9, 2024
COWEN AND COMPANY
January 22, 2020 - November 27, 2023
TD SECURITIES (USA) LLC
November 17, 2016 - October 18, 2019
CLEARPOOL EXECUTION SERVICES, LLC
March 4, 2016 - October 22, 2016
P. A. N. SECURITIES, LP
August 7, 2013 - April 6, 2015
WEEDEN & CO.L.P.
February 14, 2013 - April 6, 2015
PRAGMA LLC
December 19, 2008 - May 20, 2009
COWEN AND COMPANY
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/8/2013
Limited Representative-Equity Trader ExamCurrent Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
