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THOMAS LOUIS BURNOR
TOM BURNOR
CRD#: 2759877
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 575 ANTON BLVD STE 910
COSTA MESA, CA 92626
COSTA MESA, CA 92626
0
Disclosures
28
Years of Experience
View By:
State Registrations
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Alabama 7/22/2024
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Missouri 5/25/2023
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Arizona 11/18/2022
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Montana 2/28/2023
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California 10/5/2004
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Nevada 6/28/2023
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California 12/20/2005
B
New Jersey 4/26/2023
B
Colorado 3/7/2025
B
New York 11/18/2022
B
Connecticut 2/28/2023
B
Ohio 8/2/2023
B
District of Columbia 10/20/2023
B
Oklahoma 9/22/2023
B
Florida 1/30/2023
B
Oregon 4/19/2024
B
Georgia 8/19/2023
B
Pennsylvania 2/3/2023
B
Hawaii 2/4/2020
B
South Carolina 2/6/2023
B
Idaho 4/18/2023
B
Tennessee 11/18/2022
B
Illinois 1/12/2023
B
Texas 11/18/2022
B
Indiana 10/20/2023
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Texas 11/21/2022
B
Louisiana 1/12/2023
B
Utah 10/20/2023
B
Maine 11/12/2024
B
Virginia 6/7/2024
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Maryland 8/19/2023
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Washington 10/20/2023
B
Massachusetts 4/18/2023
B
West Virginia 1/27/2023
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Michigan 6/8/2023
B
Wisconsin 1/26/2025
B
Minnesota 3/11/2023
B
Wyoming 7/3/2024
B
Mississippi 1/26/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 12/20/2005
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Registered with this firm since 10/5/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/01/2003 - 08/09/2004 | SPRINGFIELD, MA | |
B | 02/01/2003 - 08/09/2004 | NEW YORK, NY | |
B | 07/08/1996 - 02/14/2003 | EL SEGUNDO, CA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.