Joseph J. Thome
Professional summary
Joseph John-charles Thome, who also goes by Joseph John-charles Thome, Joseph John-charles Thome Phd, is a registered financial professional currently at TD SECURITIES (USA) LLC located in Stamford, Connecticut.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2016. Joseph has worked at 2 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph John-charles Thome's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 5, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 262 Harbor Blvd 2nd Floor, Stamford, CT 06902April 13, 2016 - April 11, 2024
COWEN AND COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/5/2024)
(3/5/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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