Thomas D. Currey
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 Dudley Currey, who also goes by Thomas D Currey, Tom Currey, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2012 - December 31, 2021
THE O.N. EQUITY SALES COMPANY
January 5, 2010 - March 1, 2012
THE O.N. EQUITY SALES COMPANY
January 4, 2010 - March 1, 2012
ON INVESTMENT MANAGEMENT CO
August 24, 2005 - December 31, 2009
ON INVESTMENT MANAGEMENT CO
August 24, 2005 - December 31, 2009
THE O.N. EQUITY SALES COMPANY
March 11, 2005 - August 23, 2005
CARILLON INVESTMENTS, INC.
September 8, 2004 - August 23, 2005
CARILLON INVESTMENTS, INC.
June 14, 2004 - August 31, 2004
CARILLON INVESTMENTS, INC.
October 14, 2003 - August 31, 2004
CARILLON INVESTMENTS, INC.
August 4, 1998 - September 8, 2003
AMERITAS INVESTMENT COMPANY, LLC
August 3, 1998 - September 8, 2003
AMERITAS INVESTMENT COMPANY, LLC
January 30, 1991 - August 17, 1998
DOMINION CAPITAL CORPORATION
September 18, 1984 - December 13, 1990
OSAIC FS, INC.
September 23, 1980 - August 3, 1984
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
September 23, 1980 - August 3, 1984
MONY SECURITIES CORPORATION
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: 9/16/1980
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| 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.
