Thomas J. Delorenzo
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 J Delorenzo, who also goes by Thomas James Delorenzo, Tom Delorenzo, Tom Ryan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2009. Thomas had worked at 5 firms and has passed the Series 66, Series 63, SIE 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 3, 2014 - July 6, 2015
FIRST STANDARD FINANCIAL COMPANY LLC
January 31, 2013 - July 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 2013 - July 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 2012 - August 10, 2012
HFP CAPITAL MARKETS LLC
April 19, 2011 - December 8, 2011
EQUITABLE ADVISORS, LLC
September 24, 2009 - June 3, 2010
NATIONAL SECURITIES CORPORATION
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
Current Firm
FIRST STANDARD FINANCIAL COMPANY LLC
CRD#: 168340 / SEC#: , 8-69300
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
