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THOMAS JOHN SHOPA JR.
TJ SHOPA
CRD#: 4182416
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 3 MILL ROAD
SUITE 306
WILMINGTON, DE 19806
SUITE 306
WILMINGTON, DE 19806
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
Arizona 3/26/2024
B
Maryland 3/26/2024
IA
Arizona 4/30/2024
B
Massachusetts 3/26/2024
B
California 3/26/2024
B
New Jersey 3/26/2024
B
Delaware 3/26/2024
B
New York 3/26/2024
IA
Delaware 4/11/2024
B
Pennsylvania 3/26/2024
B
District of Columbia 3/26/2024
IA
Pennsylvania 3/26/2024
B
Florida 3/26/2024
B
South Carolina 3/26/2024
IA
Florida 4/24/2024
B
Texas 3/26/2024
B
Georgia 3/26/2024
IA
Texas 3/26/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/26/2024
B
Registered with this firm since 3/26/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/04/2008 - 04/01/2024 | BERWYN, PA | |
B | 01/30/2008 - 04/01/2024 | BERWYN, PA | |
IA | 07/30/2002 - 01/31/2008 | BALA CYNWYD, PA | |
B | 06/05/2000 - 01/31/2008 | BALA CYNWYD, PA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.