Thomas H. Lovell
Professional summary
Thomas Henry Lovell JR, who also goes by Jr Thomas Henry Lovell, is a registered financial professional currently at CHATSWORTH SECURITIES LLC located in Greenwich, Connecticut.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 82, Series 62, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Henry Lovell JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 24, 2017 - Present
CHATSWORTH SECURITIES LLC
Office #1: 95 East Putnam Avenue, Greenwich, CT 06830June 29, 2010 - March 4, 2011
MIDDLEBURY SECURITIES LLC
May 12, 2009 - September 9, 2010
MCKIM CAPITAL, INC.
November 12, 2008 - December 9, 2008
MORGAN JOSEPH TRIARTISAN LLC
July 1, 1996 - August 22, 2000
GOLDMAN SACHS & CO. LLC
January 1, 1991 - October 23, 1992
CITICORP SECURITIES SERVICES, INC.
June 30, 1982 - April 2, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/15/2017)
Exams
Series 62
Date: 11/10/2008
Corporate Securities Limited Representative ExaminationSeries 8
Date: 6/27/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
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