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Detailed Report
THOMAS JOHN MARROLLO SR
THOMAS JOHN MARROLLO
CRD#: 1052122
IA
Investment Adviser
B
Previous Broker
APOGEE FINANCIAL SERVICES GROUP, INC.CRD#: 129527 74 EAST SECOND STREET
MOORESTOWN, NJ 08057-0805
Registration History
198519901995200020052010201520202025IAAPOGEE FINANCIAL SERVICES GROU... (CRD# 129527)2009 - Present (16 years)BPTS BROKERAGE, LLC (CRD# 119307)2005 - 2010 (5 years)BCOMMONWEALTH FINANCIAL NETWORK (CRD# 8032)2003 - 2004 (1 year)BFSC SECURITIES CORPORATION (CRD# 7461)1994 - 2003 (9 years)BAMA INVESTMENT ADVISERS, INC. (CRD# 678)1990 - 1994 (4 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1989 - 1990 (<1 year)BAMA ADVISERS, INC. (CRD# 678)1987 - 1989 (1 year)BSAV/VEST SECURITIES CORPORATION (CRD# 18167)1987 - 1987 (<1 year)BPSFS DISCOUNT BROKERAGE, INC. (CRD# 17475)1986 - 1987 (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1983 - 1985 (2 years)BFIRST JERSEY SECURITIES, INC. (CRD# 6621)1982 - 1983 (<1 year)
Disclosure(s)
View By:
6/25/2012
Regulatory
Final
License(s)

State Registrations

IA
New Jersey 2/10/2009
Current Registration(s)
IA
APOGEE FINANCIAL SERVICES GROUP, INC. (CRD#:129527)
74 EAST SECOND STREET, MOORESTOWN, NJ 08057-0805
Registered with this firm since 2/10/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
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 01/06/2005 - 09/22/2010 PTS BROKERAGE, LLC (CRD#:119307) MOUNT LAUREL, NJ
B
 08/15/2003 - 12/31/2004 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) WALTHAM, MA
B
 04/28/1994 - 08/19/2003 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
 03/15/1990 - 05/03/1994 AMA INVESTMENT ADVISERS, INC. (CRD#:678) CHICAGO, IL
B
 10/11/1989 - 03/08/1990 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 12/09/1987 - 10/09/1989 AMA ADVISERS, INC. (CRD#:678) CHICAGO, IL
B
 09/01/1987 - 12/08/1987 SAV/VEST SECURITIES CORPORATION (CRD#:18167)
B
 10/28/1986 - 08/15/1987 PSFS DISCOUNT BROKERAGE, INC. (CRD#:17475)
B
 08/11/1983 - 12/23/1985 CHARLES SCHWAB & CO., INC. (CRD#:5393)
B
 06/28/1982 - 04/28/1983 FIRST JERSEY SECURITIES, INC. (CRD#:6621)
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.