Thomas P. Cullen
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 Peter Cullen was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 28 firms and has passed the Series 63, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2000 - June 30, 2000
DELTA ASSET MANAGEMENT COMPANY, LLC
September 30, 1999 - February 7, 2000
MORGAN GRANT CAPITAL CORP.
May 22, 1997 - October 6, 1997
BUCKMAN, BUCKMAN & REID, INC.
July 13, 1996 - January 27, 1997
AUERBACH, POLLAK & RICHARDSON INC.
May 24, 1996 - July 2, 1996
MERIT CAPITAL ASSOCIATES, INC.
April 17, 1995 - July 27, 1995
MERIT CAPITAL ASSOCIATES, INC.
March 10, 1993 - August 18, 1993
THE STAMFORD COMPANY, INC.
January 25, 1993 - March 18, 1993
BEACON SECURITIES, INC.
December 8, 1992 - January 18, 1993
GUARDIAN INVESTOR SERVICES LLC
May 15, 1992 - August 14, 1992
STUART, COLEMAN & CO., INC.
April 3, 1992 - May 12, 1992
R.K. STEELE
May 18, 1990 - September 12, 1990
A. G. EDWARDS & SONS, INC.
April 5, 1990 - May 4, 1990
FIRST AMERICA EQUITIES CORP.
October 6, 1989 - February 7, 1990
WALNUT STREET SECURITIES, INC.
February 7, 1989 - May 26, 1989
FINANCIAL SQUARE PARTNERS
June 30, 1988 - January 23, 1989
HAMBRECHT & QUIST LLC
March 15, 1988 - March 18, 1988
MOSELEY SECURITIES CORPORATION
March 15, 1988 - June 14, 1988
GRUNTAL & CO., L.L.C.
January 11, 1988 - February 24, 1988
LEHMAN BROTHERS INC.
May 3, 1985 - November 10, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
August 14, 1984 - April 18, 1985
ROONEY, PACE INC.
November 23, 1983 - August 1, 1984
BECKER PARIBAS INCORPORATED
July 29, 1982 - November 2, 1983
UBS FINANCIAL SERVICES INC.
January 21, 1982 - August 27, 1982
PRUDENTIAL EQUITY GROUP, LLC
January 9, 1979 - March 3, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 24, 1978 - January 22, 1979
MORGAN STANLEY DW INC.
February 1, 1978 - February 24, 1978
REYNOLDS SECURITIES, INC.
April 20, 1976 - March 2, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 30, 1975 - May 22, 1976
BACHE & CO INCORPORATED
June 1, 1973 - November 8, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 5/23/1973
Registered Representative ExaminationSeries 8
Date: 10/31/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DELTA ASSET MANAGEMENT COMPANY, LLC
CRD#: 39923 / SEC#: , 8-48888
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| 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.
