Thomas J. Tartaglia
Professional summary
Thomas John Tartaglia, who also goes by Tom John Tartaglia, is a registered financial professional currently at HARRIS WILLIAMS located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2019. Thomas has worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Tartaglia's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2023 - Present
HARRIS WILLIAMS
Office #1: 600 Lexington Ave. 11th Floor, New York, NY 10022April 8, 2021 - August 4, 2023
SIXPOINT PARTNERS LLC
May 27, 2020 - February 23, 2021
EQUITEQ SECURITIES LLC
September 9, 2019 - April 7, 2020
EQUITEQ SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/27/2023)
Exams
Series 7TO
Date: 7/12/2021
General Securities Representative ExaminationSeries 79TO
Date: 9/9/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
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