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Detailed Report
THOMAS JOHN CORSARO
CRD#: 5171122
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
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
199419961998200020022004200620082010201220142016201820202022IABANKERS LIFE ADVISORY SERVICES... (CRD# 281285)2021 - 2022 (<1 year)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2018 - 2021 (2 years)IAPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2014 - 2015 (1 year)IAMUTUAL OF OMAHA INVESTOR SERVI... (CRD# 611)2007 - 2014 (6 years)
Disclosure(s)
View By:
2/10/2022
Regulatory
Final
10/5/1993
Criminal
Final Disposition
Previous Registration(s)
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IA
 07/10/2021 - 01/04/2022 BANKERS LIFE ADVISORY SERVICES, INC. (CRD#:281285) Williamsville, NY
IA
 07/25/2018 - 06/02/2021 SAGEPOINT FINANCIAL, INC. (CRD#:133763) BLOOMFIELD, NY
IA
 03/24/2014 - 08/11/2015 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) BLOOMFIELD, NY
IA
 11/09/2007 - 03/13/2014 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD#:611) BLOOMFIELD, NY
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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.