Thomas Turiano has been Chief Compliance Officer / Managing Director of Southport Station Financial Management since January 2014, is a control person of the firm and directly owns under 5% of it.
Southport Station Financial Management, LLC is a Southport, CT firm with $192M under management, 182 clients and 3 advisers across 3 offices, as of its March 2026 filing.
Thomas Turiano’s longest registration is the current one, 18 years at Southport Station Financial Management since 2008. Before joining Southport Station Financial Management in 2008, Thomas Turiano was registered through LPL Financial Corporation and Merrill Lynch Pierce Fenner & Smith Inc.
- – present · 18 yearsAdviser representative · Firm CRD 146270
- LPL Financial Corporation– · 3 yearsSouthport, CT · Adviser representative · Firm CRD 6413
- Merrill Lynch Pierce Fenner & Smith Inc.– · 2 yearsFairfield, CT · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Thomas Turiano is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from April 2008; the most recent is Florida, in November 2020.
- ConnecticutSince 4 April 2008
- FloridaSince 17 November 2020
- TexasResidentSince 29 May 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 15 June 2001 |
| Series 7 | General Securities Representative Examination | 22 May 2001 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 7 November 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Thomas Anthony Turiano
- CRD
- 4290177
- Firm
- Southport Station Financial Management · CRD 146270
- Role
- Chief Compliance Officer / Managing Director
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 2002
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Thomas Turiano work?
Thomas Turiano has been Chief Compliance Officer / Managing Director of Southport Station Financial Management, LLC since January 2014, and is a control person of the firm.
Is Thomas Turiano a financial advisor?
Yes. Thomas Turiano has a current investment-adviser registration in Connecticut, Florida and Texas, through Southport Station Financial Management since April 2008.
How many years of experience does Thomas Turiano have?
Thomas Turiano has 24 years in the financial industry, since January 2002, across 3 adviser firms.
What exams has Thomas Turiano passed?
Thomas Turiano has passed 3 licensing exams: the Series 6, Series 7 and Series 66. The earliest, the Series 6, was passed in November 2000. FINRA credited Thomas Turiano with the SIE, which began in October 2018.
Where did Thomas Turiano work before Southport Station Financial Management?
Before Southport Station Financial Management, Thomas Turiano was registered through LPL Financial Corporation, June 2004 to April 2008; Merrill Lynch Pierce Fenner & Smith Inc., June 2001 to September 2003.
Is Thomas Turiano registered with FINRA?
Yes. Thomas Turiano has a current broker registration, under CRD 4290177.
Source: FINRA BrokerCheck
How can I verify Thomas Turiano’s record?
Search CRD 4290177 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Turiano’s full registration record.