Thomas R. Sine
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 Richard Sine, who also goes by Tucker Sine, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 15 firms and has passed the Series 63, SIE, Series 25, Series 55, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2015 - December 31, 2025
IMPACTADVISOR LLC
April 29, 2014 - November 18, 2014
ZACKS INVESTMENT MANAGEMENT, INC.
April 25, 2014 - November 24, 2014
LBMZ SECURITIES, INC.
March 23, 2011 - December 12, 2013
MONTROSE SECURITIES INTERNATIONAL
October 15, 2007 - March 28, 2011
THE BENCHMARK COMPANY, LLC
April 25, 2007 - October 17, 2007
JANNEY MONTGOMERY SCOTT LLC
November 14, 2006 - May 15, 2007
MAXIM GROUP LLC
September 2, 2005 - August 15, 2006
PRINCETON SECURITIES GROUP, LLC
April 26, 2005 - September 2, 2005
PSG EXECUTIONS, INC.
May 2, 2002 - May 12, 2005
JANNEY MONTGOMERY SCOTT LLC
March 1, 2002 - April 17, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
January 2, 1997 - April 30, 2001
ABN AMRO INCORPORATED
December 4, 1995 - January 2, 1997
THE CHICAGO CORPORATION
August 12, 1980 - December 5, 1995
MORGAN STANLEY & CO. LLC
October 12, 1977 - August 31, 1980
WM SWORD & CO. INCORPORATED
January 27, 1976 - October 29, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 25
Date: 1/5/2006
NYSE Trading Assistant ExaminationSeries 55
Date: 1/22/1999
Limited Representative-Equity Trader ExamPC
Date: 8/4/1980
AMEX Put and Call ExamSeries 8
Date: 1/25/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
IMPACTADVISOR LLC
CRD#: 175155 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 74,995,919 |
Red Flags
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