Jeffrey S. Tabak
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.
Jeffrey Steven Tabak, who also goes by Jeffrey Steven Tabak Mr., was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1978. Jeffrey had worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 10, 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
June 1, 2023 - October 1, 2025
TJM INVESTMENTS, LLC
February 28, 2023 - May 31, 2023
SRT SECURITIES LLC
August 25, 2022 - February 2, 2023
DINOSAUR FINANCIAL GROUP, L.L.C
July 7, 2022 - March 9, 2023
DE PAOLA TRADING, INC.
October 23, 2014 - August 10, 2022
LEK SECURITIES CORPORATION
October 3, 2014 - January 6, 2016
MITCHELL SECURITIES, INC.
November 4, 2002 - November 6, 2002
INTL FCSTONE CREDIT TRADING LLC
May 8, 2000 - October 23, 2014
MILLER TABAK + CO., LLC
April 15, 1982 - July 7, 2000
MILLER TABAK HIRSCH & CO.
March 4, 1980 - January 28, 1982
MABON, NUGENT & CO.
August 25, 1978 - March 2, 1980
KIDDER, PEABODY & CO. INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
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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