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Detailed Report
THOMAS ALBERT PACILIO
CRD#: 2238271
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
199619982000200220042006200820102012201420162018202020222024IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2019 - 2023 (3 years)IASTRATOS WEALTH ADVISORS LLC (CRD# 283816)2018 - 2020 (1 year)IARSM US WEALTH MANAGEMENT LLC (CRD# 111221)2014 - 2018 (3 years)IAWASHINGTON WEALTH MANAGEMENT (CRD# 155193)2011 - 2015 (3 years)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2009 - 2012 (2 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)IAMORGAN STANLEY (CRD# 7556)2006 - 2007 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)1995 - 2006 (11 years)
Disclosure(s)
View By:
3/31/2023
Employment Separation After Allegations
1/5/2023
Criminal
Final Disposition
11/1/2007
Customer Dispute
Withdrawn
Previous Registration(s)
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 12/20/2019 - 04/11/2023 B. RILEY WEALTH ADVISORS, INC. (CRD#:115927) WESTPORT, CT
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 03/26/2018 - 01/02/2020 STRATOS WEALTH ADVISORS LLC (CRD#:283816) Westport, CT
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 12/11/2014 - 03/30/2018 RSM US WEALTH MANAGEMENT LLC (CRD#:111221) WESTPORT, CT
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 12/22/2011 - 01/05/2015 WASHINGTON WEALTH MANAGEMENT (CRD#:155193) WESTPORT, CT
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 06/01/2009 - 01/03/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) FAIRFIELD, CT
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 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FAIRFIELD, CT
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 11/24/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) FAIRFIELD, CT
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 02/02/1995 - 11/28/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) FAIRFIELD, CT
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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.
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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.