Thomas D. Mccormick
Professional summary
Thomas David Mccormick, who also goes by Tom D Mccormick, is a registered financial professional currently at CODA MARKETS, INC. located in Wilmette, Illinois.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2017. Thomas has worked at 4 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas David Mccormick's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 14, 2022 - Present
CODA MARKETS, INC.
Office #1: 1000 Skokie Blvd. Suite Ll33, Wilmette, IL 60091November 11, 2022 - May 1, 2024
APEX CLEARING CORPORATION
July 26, 2018 - November 17, 2022
CHARLES SCHWAB & CO., INC.
May 25, 2017 - November 10, 2017
OPTIONSXPRESS, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
Current Firm
CODA MARKETS, INC.
CRD#: 36187 / SEC#: , 8-47077
Contact information
FINRA licenses (5 States and Territories)
Documents
Disclosures
| Regulatory Event | 15 |
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.
