Thomas M. Nolan
Professional summary
Thomas Michael Nolan, who also goes by Thomas M Nolan, Tommy Nolan, is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2010. Thomas has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Michael Nolan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2011 - Present
IMPERIAL CAPITAL, LLC
Office #1: 277 Park Avenue Suite 2004, New York, NY 10172May 12, 2010 - March 10, 2011
CF GLOBAL TRADING, 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
(3/1/2011)
(1/25/2024)
(5/29/2024)
(3/1/2011)
(6/8/2022)
(1/25/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/22/2011
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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