Thomas M. Gormley
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 Michael Gormley was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2005 - May 29, 2019
KBD SECURITIES, LLC
July 27, 2001 - September 30, 2005
BOSTON MERCHANT FINANCIAL SERVICES, INC.
October 23, 2000 - January 22, 2001
DAVID LERNER ASSOCIATES, INC.
February 24, 1999 - October 23, 2000
OSAIC INSTITUTIONS, INC.
January 28, 1999 - February 19, 1999
OSAIC INSTITUTIONS, INC.
February 26, 1997 - February 9, 1999
CHASE INVESTMENT SERVICES CORP.
February 13, 1997 - February 22, 1997
PRUCO SECURITIES, LLC.
June 14, 1995 - December 31, 1996
TUCKER ANTHONY INCORPORATED
April 26, 1994 - June 14, 1995
CONSECO SECURITIES, INC.
November 2, 1993 - March 21, 1994
GILFORD SECURITIES INCORPORATED
December 4, 1992 - December 7, 1993
PFS INVESTMENTS INC.
September 4, 1990 - July 12, 1991
JARON EQUITIES CORP.
June 2, 1988 - December 23, 1988
NATHAN & LEWIS SECURITIES, INC.
November 22, 1986 - January 20, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 22, 1986 - January 28, 1987
EQUITABLE ADVISORS, LLC
February 21, 1985 - October 16, 1986
LEHMAN BROTHERS INC.
June 23, 1981 - February 19, 1985
PRUDENTIAL EQUITY GROUP, 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
Exams
Current Firm
KBD SECURITIES, LLC
CRD#: 104110 / SEC#: , 8-52591
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
