Thomas F. Costello
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 Francn Costello, who also goes by Thomas Francis Costello, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 6 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 1993 - June 23, 1998
WS GRIFFITH SECURITIES, INC.
June 2, 1993 - August 30, 1993
VP DISTRIBUTORS LLC
November 16, 1982 - March 5, 1992
WS GRIFFITH SECURITIES, INC.
June 10, 1982 - July 27, 1984
NATHAN & LEWIS SECURITIES, INC.
November 9, 1973 - March 5, 1992
HOME LIFE INSURANCE COMPANY
April 13, 1973 - July 10, 1976
PROFIT FUNDS INC.
December 22, 1971 - October 26, 1974
PLANNED SECURITY CONSULTANTS, 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 1
Date: 12/20/1971
Registered Representative ExaminationCurrent Firm
WS GRIFFITH SECURITIES, INC.
CRD#: 10410 / SEC#: , 8-27324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WS GRIFFITH ADVISORS, INC. | PARENT COMPANY | |
| BEAGIN, JOSEPH GARY | SENIOR VICE PRESIDENT | 15544 |
| BEERS, JOHN HENRY | SECRETARY, VICE PRESIDENT | |
| DAHL, RICHARD STEWART | VICE PRESIDENT, OPERATIONS | 1080878 |
| ENGBERG, NANCY JEAN | VP & CHIEF COMPLIANCE OFFICER | 2952960 |
| HAYLON, MICHAEL EDWARD | DIRECTOR | 1884528 |
| KELLEHER, JOSEPH EDWARD | PRESIDENT, DIRECTOR | 4017209 |
| LAUTENSACK, ROBERT GEORGE JR | DIRECTOR | |
| MILLER, LAURA EILEEN | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT | 1558203 |
| OLSON, VICTORIA LYNN | VP, COMPLIANCE OFFICER | 2360895 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
