Thomas E. Ferrell
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 Ernest Ferrell was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 16 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3, Series 5, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2011 - February 18, 2025
LADENBURG THALMANN & CO. INC.
January 11, 2011 - February 9, 2011
ADVANCED EQUITIES, INC.
June 3, 2010 - February 9, 2011
ADVANCED EQUITIES, INC.
June 3, 2009 - May 28, 2010
NATIONAL SECURITIES CORPORATION
May 28, 2008 - June 3, 2009
VFINANCE INVESTMENTS, INC
February 12, 2008 - March 27, 2008
DAWSON JAMES SECURITIES, INC.
February 12, 2007 - February 8, 2008
CAPITAL GROWTH FINANCIAL, LLC
September 14, 2006 - February 16, 2007
GUNNALLEN FINANCIAL, INC
August 29, 2005 - September 12, 2006
MAXIM GROUP LLC
December 18, 2004 - July 1, 2005
MDB CAPITAL
February 18, 2003 - August 5, 2004
RODMAN & RENSHAW, LLC
June 28, 2002 - February 19, 2003
HORNBLOWER FISCHER & CO.
June 2, 2000 - July 31, 2001
MELHADO, FLYNN & ASSOCIATES, INC.
May 28, 1993 - March 8, 2000
CITIGROUP GLOBAL MARKETS INC.
October 25, 1984 - June 2, 1993
KIDDER, PEABODY & CO. INCORPORATED
April 30, 1984 - October 26, 1984
ALEX. BROWN & SONS INCORPORATED
February 9, 1981 - May 29, 1984
CITIGROUP GLOBAL MARKETS INC.
November 27, 1978 - March 6, 1981
E. F. HUTTON & COMPANY 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/6/2002
Limited Representative-Equity Trader ExamSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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