Thomas L. Busby
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 Lee Busby, who also goes by Tom Busby, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1981. Thomas had worked at 12 firms and has passed the Series 66, Series 63, Series 3, Series 7 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
December 2, 2005 - December 11, 2009
SPIKE FINANCIAL SERVICES, LLC
May 11, 2005 - November 22, 2005
LEVEL FOUR FINANCIAL, LLC
May 11, 2005 - November 22, 2005
LEVEL FOUR FINANCIAL, LLC
January 21, 2003 - June 10, 2004
PAN-AMERICAN FINANCIAL ADVISERS
November 5, 1999 - December 7, 2001
FIRST SECURITIES USA, INC.
January 13, 1994 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
September 17, 1990 - December 31, 1993
MUTUAL SECURITIES, INC.
November 9, 1988 - June 12, 1990
PRUDENTIAL EQUITY GROUP, LLC
October 25, 1988 - December 2, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
May 14, 1988 - October 19, 1988
LEHMAN BROTHERS INC.
April 29, 1988 - May 14, 1988
E. F. HUTTON & COMPANY INC
April 5, 1988 - April 19, 1988
E. F. HUTTON & COMPANY INC
July 2, 1984 - April 14, 1988
CITIGROUP GLOBAL MARKETS INC.
May 18, 1981 - July 2, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
SPIKE FINANCIAL SERVICES, LLC
CRD#: 112193 / SEC#: , 8-53225
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PONTARELLI, ANTHONY T | MEMBER | 4379261 |
| DAGOSTINO, VINCE D | MEMBER | 4379320 |
| TITAN HOLDINGS, LLC | MEMBER | |
| WALSH, MICHAEL PATRICK | MEMBER | 4379257 |
| KHOLAMIAN, DRO YEREVANTE | MEMBER | |
| AMABILE, SAM | MEMBER | 4379288 |
| EVEY, THOMAS JAMES | CEO, CCO, CFO, EXECUTIVE REP., SROP & CROP | 1157236 |
| GRAZIANO, DAVID JOSEPH | MEMBER | 4379277 |
| MUELLER, THOMAS ANDREW | MEMBER | 1164019 |
Disclosures
| Regulatory Event | 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.
