Thomas J. Milani
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 John Milani was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2009. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2016 - June 19, 2017
SOFI SECURITIES LLC
July 15, 2015 - September 20, 2016
APOLLO GLOBAL SECURITIES, LLC
June 5, 2014 - May 8, 2015
LWPARTNERS CAPITAL GROUP LLC
July 18, 2013 - June 10, 2014
SANDLER, O'NEILL & PARTNERS, L.P.
June 13, 2011 - July 2, 2013
BMO CAPITAL MARKETS CORP.
August 18, 2009 - May 10, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
SOFI SECURITIES LLC
CRD#: 151717 / SEC#: , 8-68389
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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