Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Marino is a registered representative with Barclays Capital Inc., and has been in the securities industry since February 28, 1979. Thomas has held various roles in the financial services industry, including positions at Lehman Brothers Inc., Smith Barney, Harris Upham & Co., Incorporated, and Bache Halsey Stuart Shields Incorporated. Thomas is currently registered as a principal and has passed the General Securities Sales Supervisor - General Module Examination, the General Securities Sales Supervisor - Options Module Examination, and the General Securities Principal Examination. Thomas has also passed the Securities Industry Essentials Examination, the Interest Rate Options Examination, and the General Securities Representative Examination. Thomas is registered in 12 states and is a registered representative with FINRA.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
09/22/2008 - Present
Barclays Capital Inc. (NEW YORK NY)
NY
03/10/1982 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/10/1980 - 02/09/1982
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
02/01/1979 - 07/13/1980
BACHE HALSEY STUART SHIELDS INCORPORATED
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/23/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/26/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1981
Series 5 - Interest Rate Options Examination
BC
Issued 01/20/1979
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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