Thomas A. Petrone
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 Anthony Petrone was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 15, Series 5, Series 7, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2013 - July 14, 2016
PURSHE KAPLAN STERLING INVESTMENTS
September 10, 2010 - May 10, 2012
CITIGROUP GLOBAL MARKETS INC.
December 3, 1997 - September 1, 1998
SALOMON BROTHERS INC.
November 21, 1979 - May 3, 2007
CITIGROUP GLOBAL MARKETS INC.
May 12, 1976 - October 16, 1976
FORESTERS FINANCIAL SERVICES, 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 55
Date: 9/15/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 11/17/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationSeries 1
Date: 5/6/1976
Registered Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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