Thomas P. Civitano
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 Peter Civitano was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2007. Thomas had worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2014 - August 5, 2022
SECURITY CAPITAL BROKERAGE, INC.
September 5, 2014 - December 15, 2014
VAB FINANCIAL, LLC
April 28, 2011 - August 1, 2014
VAB ADVISORS, LLC.
September 2, 2010 - August 1, 2014
VAB FINANCIAL, LLC
February 11, 2008 - October 19, 2009
SOUTHSTATE SECURITIES CORP.
February 21, 2007 - January 31, 2008
POPULAR SECURITIES, LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SECURITY CAPITAL BROKERAGE, INC.
CRD#: 35405 / SEC#: , 8-46669
Contact information
FINRA licenses (7 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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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