Thomas J. Falzani
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 James Falzani was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1975. Thomas had worked at 4 firms and has passed the Series 40 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2001 - November 28, 2001
BESTVEST INVESTMENTS, LTD.
July 31, 1995 - August 29, 2001
FIRST LIBERTY INVESTMENT GROUP, INC.
May 29, 1990 - November 30, 1994
VALLEY FORGE SECURITIES, INC .
July 11, 1975 - June 1, 1990
BOENNING & SCATTERGOOD, INC.
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
Series 40
Date: 7/7/1975
Registered Principal ExaminationCurrent Firm
BESTVEST INVESTMENTS, LTD.
CRD#: 40302 / SEC#: , 8-49007
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OC HOLDINGS LLC | OWNER | |
| COONEY, WILLIAM GRESHAM | CHIEF COMPLIANCE OFFICER | 1333702 |
| OCONNOR, JAMES WILLIAM | PRESIDENT AND FINANCIAL PRINCIPAL |
Disclosures
| Regulatory Event | 3 |
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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