Thomas F. Boova
Professional summary
Thomas Frederick Boova is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1976. Thomas has worked at 10 firms and has passed the Series 99TO, Series 6TO, SIE, Series 3, PC, Series 5, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Frederick Boova's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 18, 2019 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428December 22, 2017 - October 9, 2019
CAROLINA FINANCIAL SECURITIES, LLC
August 19, 2013 - December 31, 2015
SOURCE CAPITAL GROUP, INC.
June 21, 2011 - March 5, 2013
GLOBALIST CAPITAL, LLC
February 9, 2008 - May 10, 2011
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
September 16, 2003 - March 17, 2006
UBS FINANCIAL SERVICES INC.
July 24, 2002 - March 17, 2006
UBS FINANCIAL SERVICES INC.
January 3, 2001 - July 9, 2002
HSBC SECURITIES (USA) INC.
December 8, 1992 - November 29, 2000
UBS FINANCIAL SERVICES INC.
October 27, 1992 - November 10, 1992
DEUTSCHE BANK CAPITAL CORPORATION
August 14, 1990 - November 23, 1992
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
October 21, 1976 - July 27, 1990
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/25/2025)
(11/6/2020)
(1/25/2021)
(1/11/2021)
(4/1/2021)
(3/8/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationPC
Date: 9/8/1982
AMEX Put and Call ExamSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationSeries 8
Date: 4/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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