Thomas Lin
Professional summary
Thomas Lin is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Lin's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 16, 2024 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428March 4, 2024 - May 28, 2024
ROTH CAPITAL PARTNERS, LLC
May 9, 2023 - April 12, 2024
FINALIS SECURITIES LLC
June 11, 2014 - January 11, 2023
VISTA POINT ADVISORS, 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
(5/16/2024)
(5/16/2024)
(7/11/2025)
Exams
FINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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