Thomas J. Kesterson
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 James Kesterson, who also goes by Tommy Kesterson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2017. Thomas had worked at 2 firms and has passed the Series 63, Series 7TO, 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
September 16, 2018 - October 9, 2021
TD AMERITRADE CLEARING, INC.
October 27, 2017 - September 19, 2018
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 1/1/2023
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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