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TC

Thomas L. Cardwell

WEILD & CO.
New York, NY 10169
Some features on this profile are disabled
CRD#: 7334188
TC

Professional summary

Thomas Lee Cardwell Jr, who also goes by Thomas Lee Cardwell, is a registered financial professional currently at WEILD & CO. located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2022. Thomas has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Lee Cardwell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Lee Cardwell Jr's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 23, 2022 - Present

WEILD & CO.

Office #1: 230 Park Avenue 3rd And 4th Floors, New York, NY 10169
BD
CRD#: 132398
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Maryland
(4/5/2022)
RR
New York
(6/24/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/24/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/23/2022
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/13/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

W&
WEILD & CO.
CMA PARTNERS, LLC | WEILD CAPITAL, LLC | WEILD & CO., LLC | WEILD & CO. | THE NATIONAL RESEARCH STANDARD, INC. | THE NATIONAL RESEARCH STANDARD | THE NATIONAL RESEARCH EXCHANGE | ISSUWORKS CAPITAL, LLC

CRD#: 132398 / SEC#: , 8-66593

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
777 29th Street Suite 402, Boulder, CO 80303
Mailing Address
777 29th Street Suite 402, Boulder, CO 80303
Phone number
(303) 223-9621
Established
New York since 10/22/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEILD & CO., INC.SOLE MEMBER
ONESTO, RICHARD ERNESTFINOP2453096
WEILD, DAVID IVMEMBER, CHAIRMAN AND CEO1336395
WEILD, DAVID IVCHIEF COMPLIANCE OFFICER, AML PRINCIPAL1336395

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.

Company Information

WEILD & CO.

CRD#: 132398New York, NY 10169

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