Thomas A. Devane
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Aloysius Devane, who also goes by Thomas A Devane, Thomas Aloysius Devane III, Thomas Aloysius III Devane, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 15 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2015 - November 1, 2016
OPPENHEIMER & CO. INC.
March 30, 2012 - September 9, 2015
ROSENBLATT SECURITIES INC.
February 27, 2012 - December 10, 2013
MID-MARKET SECURITIES, LLC
October 7, 2011 - February 17, 2012
WTS PROPRIETARY TRADING GROUP LLC
February 22, 2010 - March 31, 2010
LAIDLAW & COMPANY (UK) LTD.
December 21, 2007 - February 25, 2008
BLAYLOCK VAN, LLC
May 13, 2005 - December 21, 2007
BLAYLOCK & COMPANY, INC.
August 19, 2004 - January 4, 2005
PUNK, ZIEGEL & COMPANY, L.P.
May 22, 2003 - October 2, 2003
JESUP & LAMONT SECURITIES CORP
September 22, 1992 - June 16, 2000
GILFORD SECURITIES INCORPORATED
October 19, 1988 - March 13, 1992
LEHMAN BROTHERS INC.
February 12, 1987 - April 13, 1987
PRUDENTIAL-BACHE CAPITAL FUNDING PUERTO RICO INC.
February 12, 1987 - January 3, 1989
PRUDENTIAL EQUITY GROUP, LLC
December 18, 1985 - February 17, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 24, 1981 - November 27, 1985
JESUP & LAMONT SECURITIES CO., INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/23/2005
Limited Representative-Equity Trader ExamCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
