Thomas J. Scipione
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 John Scipione was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1975. Thomas had worked at 15 firms and has passed the Series 63, PC, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2001 - December 7, 2004
LEGEND SECURITIES, INC.
July 27, 2000 - January 11, 2001
SECURITIES AMERICA, INC.
May 26, 2000 - June 8, 2000
STERLING FINANCIAL INVESTMENT GROUP, INC.
March 12, 1999 - August 1, 2000
PMG SECURITIES CORPORATION
July 6, 1998 - January 11, 1999
CAPITAL SECURITIES OF AMERICA, INC.
July 11, 1997 - June 23, 1998
NORTHEAST SECURITIES, LLC
September 18, 1996 - May 19, 1997
CHASE INVESTMENT SERVICES CORP.
August 1, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
November 30, 1993 - August 1, 1994
IFMG SECURITIES, INC.
March 28, 1990 - August 21, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 28, 1990 - August 21, 1992
PRUCO SECURITIES, LLC.
December 3, 1987 - March 3, 1990
HERZOG, HEINE, GEDULD, LLC
August 21, 1979 - November 19, 1987
HAAS SECURITIES CORPORATION
June 16, 1977 - January 16, 1980
S. D. COHN & CO.
June 25, 1975 - July 4, 1976
MOORE & SCHLEY, CAMERON & CO.
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
PC
Date: 8/14/1980
AMEX Put and Call ExamSeries 40
Date: 10/2/1978
Registered Principal ExaminationCurrent Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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