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TC

Thomas Peter Cullen

CRD# 58419·Registered 1973 - 2000

Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas Peter Cullen was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1973 - 2000. Thomas had worked at 28 firms and has passed the Series 63, Series 1, Series 24 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

53 years in the financial services industry

Current & Past Employments

DELTA ASSET MANAGEMENT COMPANY, LLC·CRD# 39923

BD

Mineola, NY

February 10, 2000 - June 30, 2000

MORGAN GRANT CAPITAL CORP.·CRD# 28595

BD

Garden City, NY

September 30, 1999 - February 7, 2000

BUCKMAN, BUCKMAN & REID, INC.·CRD# 23407

BD

Little Silver, NJ

May 22, 1997 - October 6, 1997

AUERBACH, POLLAK & RICHARDSON INC.·CRD# 29824

BD

Stamford, CT

July 13, 1996 - January 27, 1997

MERIT CAPITAL ASSOCIATES, INC.·CRD# 30576

BD

Westport, CT

May 24, 1996 - July 2, 1996

MERIT CAPITAL ASSOCIATES, INC.·CRD# 30576

BD

Westport, CT

April 17, 1995 - July 27, 1995

THE STAMFORD COMPANY, INC.·CRD# 23725

BD

March 10, 1993 - August 18, 1993

BEACON SECURITIES, INC.·CRD# 15300

BD

New York, NY

January 25, 1993 - March 18, 1993

GUARDIAN INVESTOR SERVICES LLC·CRD# 6635

BD

New York, NY

December 8, 1992 - January 18, 1993

STUART, COLEMAN & CO., INC.·CRD# 8642

BD

New York, NY

May 15, 1992 - August 14, 1992

R.K. STEELE·CRD# 1904

BD

Beverly Hills, CA

April 3, 1992 - May 12, 1992

A. G. EDWARDS & SONS, INC.·CRD# 4

BD

St. Louis, MO

May 18, 1990 - September 12, 1990

FIRST AMERICA EQUITIES CORP.·CRD# 7652

BD

April 5, 1990 - May 4, 1990

WALNUT STREET SECURITIES, INC.·CRD# 15840

BD

El Segundo, CA

October 6, 1989 - February 7, 1990

FINANCIAL SQUARE PARTNERS·CRD# 1541

BD

February 7, 1989 - May 26, 1989

HAMBRECHT & QUIST LLC·CRD# 940

BD

June 30, 1988 - January 23, 1989

MOSELEY SECURITIES CORPORATION·CRD# 7908

BD

March 15, 1988 - March 18, 1988

GRUNTAL & CO., L.L.C.·CRD# 372

BD

March 15, 1988 - June 14, 1988

LEHMAN BROTHERS INC.·CRD# 7506

BD

January 11, 1988 - February 24, 1988

L. F. ROTHSCHILD & CO. INCORPORATED·CRD# 501

BD

May 3, 1985 - November 10, 1987

ROONEY, PACE INC.·CRD# 6218

BD

August 14, 1984 - April 18, 1985

BECKER PARIBAS INCORPORATED·CRD# 7635

BD

November 23, 1983 - August 1, 1984

UBS FINANCIAL SERVICES INC.·CRD# 8174

BD

July 29, 1982 - November 2, 1983

PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471

BD

January 21, 1982 - August 27, 1982

LEHMAN BROTHERS KUHN LOEB INCORPORATED·CRD# 7555

BD

January 9, 1979 - March 3, 1982

MORGAN STANLEY DW INC.·CRD# 7556

BD

February 24, 1978 - January 22, 1979

REYNOLDS SECURITIES, INC.·CRD# 712

BD

February 1, 1978 - February 24, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.·CRD# 572

BD

April 20, 1976 - March 2, 1978

BACHE & CO INCORPORATED·CRD# 7058

BD

September 30, 1975 - May 22, 1976

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.·CRD# 572

BD

June 1, 1973 - November 8, 1975

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Current Firm

DA

DELTA ASSET MANAGEMENT COMPANY, LLC

DELTA ASSET MANAGEMENT COMPANY, LLC

CRD#: 39923 / SEC#: 8-48888

BD

Cancelled by SEC on 12/01/2010

Contact Information

Established

South Carolina since 11/29/1995

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

Name	Position	CRD#
NORMAN GOLDSTEIN & ASSOCIATES	SHAREHOLDER	—
DELTA CAPITAL HOLDING CORP	SHAREHOLDER	—
DONNADIO, ANTHONY	VP	1530615
GOLDSTEIN, ADAM ROBERT	CHIEF COMPLIANCE OFFICER	2647994
GOLDSTEIN, ADAM ROBERT	PRESIDENT	2647994
LUBITZ, JACK	FINOP	1566639
MCCARTER, ROBERT EARLE	VP/SROP/CROP	1438793

Disclosures

Regulatory Event

6

Arbitration

2

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1979About the Series 63 exam

Series 1 — Registered Representative Examination

Passed May 1973

Series 24 — General Securities Principal Examination

Passed Mar 1992About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Oct 1986

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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TC

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