Thomas E. Livingston
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 Edward Livingston was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2009 - April 29, 2022
HALLIDAY FINANCIAL, LLC
October 3, 1988 - December 31, 2009
MCGINN, SMITH & CO., INC.
May 12, 1988 - September 27, 1988
LEHMAN BROTHERS INC.
June 9, 1982 - February 16, 1988
PRUDENTIAL EQUITY GROUP, LLC
September 28, 1979 - July 12, 1982
FITTIN, CUNNINGHAM & LAUZON, INC.
April 2, 1979 - October 17, 1979
FIRST JERSEY SECURITIES, 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
Current Firm
HALLIDAY FINANCIAL, LLC
CRD#: 31741 / SEC#: , 8-45529
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HRC INVESTMENT SERVICES, INC. | DIRECT PARENT OF HALLIDAY FINANCIAL, LLC | |
| PINO, RACHEL HOLSTE | FINOP, CCO, SUPERVISOR | 2381976 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
