Thomas J. Burke
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 Joseph Burke, who also goes by Thomas Joseph Burke Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 22 firms and has passed the Series 63, Series 55, Series 3, Series 000, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2007 - April 14, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
October 9, 2002 - June 26, 2006
SOUTHEAST INVESTMENTS, N.C., INC.
June 11, 2002 - October 2, 2002
NETGAIN TRADING, LLC
April 8, 1998 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
October 13, 1997 - March 12, 1998
HIGHLANDER CAPITAL GROUP, INC.
September 5, 1997 - November 6, 1997
MONTROSE CAPITAL MANAGEMENT LTD.
April 19, 1994 - August 19, 1997
HIGHLANDER CAPITAL GROUP, INC.
May 7, 1993 - April 12, 1994
GILFORD SECURITIES INCORPORATED
December 1, 1992 - April 22, 1993
REICH & CO., INC.
October 6, 1992 - December 1, 1992
REICH & CO., INC.
April 3, 1992 - October 1, 1992
DONALD & CO. SECURITIES INC.
April 12, 1991 - April 7, 1992
BLUESTONE CAPITAL CORP.
January 3, 1991 - March 4, 1991
DICKINSON & CO.
September 11, 1990 - December 31, 1990
SWARTWOOD, HESSE INC.
February 22, 1989 - September 6, 1990
JANNEY MONTGOMERY SCOTT LLC
April 25, 1988 - February 1, 1989
CIBC WORLD MARKETS CORP.
September 28, 1987 - March 17, 1988
PRUDENTIAL EQUITY GROUP, LLC
August 14, 1985 - October 9, 1987
CIBC WORLD MARKETS CORP.
March 6, 1981 - September 6, 1985
PRUDENTIAL EQUITY GROUP, LLC
April 29, 1980 - April 6, 1981
BAIRD, PATRICK & CO., INC.
January 30, 1975 - May 18, 1980
FAHERTY & FAHERTY INC.
June 18, 1974 - April 18, 1975
JANNEY MONTGOMERY SCOTT LLC
August 10, 1973 - September 20, 1973
F. S. MOSELEY, ESTABROOK INC.
August 8, 1973 - July 8, 1974
W. E. HUTTON & CO.
May 24, 1972 - August 10, 1973
ESTABROOK & CO., INC.
January 2, 1970 - June 10, 1972
DEAN WITTER & CO. INCORPORATED
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 55
Date: 7/15/2002
Limited Representative-Equity Trader ExamSeries 000
Date: 12/19/1969
General Securities Principal ExaminationSeries 1
Date: 12/19/1969
Registered Representative ExaminationCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
