Thomas Giancola
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 Giancola was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 5 firms and has passed the Series 66, 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
May 14, 2015 - March 4, 2019
TAYLOR CAPITAL MANAGEMENT INC.
November 22, 2013 - April 7, 2014
NATIONAL SECURITIES CORPORATION
May 9, 2007 - May 31, 2019
PROSTATIS FINANCIAL ADVISORS GROUP
August 17, 2006 - April 4, 2014
ASSET & FINANCIAL PLANNING, LTD
January 23, 2006 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
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
TAYLOR CAPITAL MANAGEMENT INC.
CRD#: 43559 / SEC#: , 8-50313
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| Arbitration | 9 |
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.
