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DT

David M. Thomas

CASCADE PARTNERS BD
Southfield, MI 48075
Some features on this profile are disabled
CRD#: 1146870
DT

Professional summary

David Mark Thomas is a registered financial professional currently at CASCADE PARTNERS BD, LLC located in Southfield, Michigan.

David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Mark Thomas's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 1, 2012 - Present

CASCADE PARTNERS BD, LLC

Office #1: 1000 Town Center Suite 1100, Southfield, MI 48075Office #2: 1000 Town Center Suite 1100, Southfield, MI 48075
BD
CRD#: 148739
Southfield, MI
Past

April 30, 1997 - March 9, 1998

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Michigan
(11/26/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/27/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CASCADE PARTNERS BD, LLC
CASCADE PARTNERS BD LLC | SENECA PARTNERS BD, LLC | SENECA PARTNERS BD, LLC | CASCADE PARTNERS BD, LLC

CRD#: 148739 / SEC#: , 8-68063

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1000 Town Center Suite 1100, Southfield, MI 48075
Mailing Address
1000 Town Center Suite 1100, Southfield, MI 48075
Phone number
248-430-6266, X101
Established
Michigan since 10/30/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CASCADE PARTNERS LLCMEMBER
KOTHARI, RAJESHKUMAR UJAMLALCEO, EXECUTIVE REPRESENTATIVE, CFO, FINOP, CCO5514025

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.

Company Information

CASCADE PARTNERS BD, LLC

CRD#: 148739Southfield, MI 48075

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