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TE

Thomas J. Emmerling

Some features on this profile are disabled
CRD#: 7400560
TE

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 Joseph Emmerling was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2021. Thomas had worked at 1 firm and has passed the Series 63, Series 82TO, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 19, 2021 - April 17, 2024

PARAMAX SECURITIES, LLC

BD
CRD#: 147374
WILLIAMSVILLE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/5/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79TO
Date: 10/18/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/19/2021
Securities Industry Essentials Examination

Current Firm

PS
PARAMAX SECURITIES, LLC
PARAMAX SECURITIES, LLC

CRD#: 147374 / SEC#: , 8-67902

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

Main Address
333 International Drive Suite A, Williamsville, NY 14221
Mailing Address
333 International Drive Suite A, Williamsville, NY 14221
Phone number
(716) 626-1200
Established
New York since 05/14/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PARAMAX CORPORATIONMEMBER/OWNER
D'ALBA, RUSSELL JDESIGNATED PRINCIPAL/CCO/MEMBER4650836
MINNECI, TIMOTHY CHARLESREGISTERED PRINCIPAL5536348
SCHAPS, MICHAEL ROBERTFINOP/CHIEF FINANCIAL OFFICER/PFO/POO1892138

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

PARAMAX SECURITIES, LLC

CRD#: 147374

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