Thomas W. Lundon

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CRD#: 1184383

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 William Lundon was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 9, 2015 - January 14, 2022

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

RED BANK, NJ

Past

September 4, 2015 - January 14, 2022

OPPENHEIMER & CO. INC.

CRD#: 249

RED BANK, NJ

Past

April 29, 2005 - September 25, 2015

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

FLORHAM PARK, NJ

Past

April 9, 2002 - September 25, 2015

RBC CAPITAL MARKETS, LLC

CRD#: 31194

FLORHAM PARK, NJ

Past

December 15, 2001 - April 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

August 18, 1997 - November 20, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

March 7, 1994 - April 9, 1997

TULLETT & TOKYO SECURITIES, INC.

CRD#: 19595

NEW YORK, NY

Past

November 1, 1993 - January 19, 1994

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

December 18, 1992 - January 19, 1994

MINT BROKERS

CRD#: 13681

NEW YORK, NY

Past

May 26, 1987 - December 1, 1992

WOLFE & HURST BOND BROKERS INC.

CRD#: 8288

JERSEY CITY, NJ

Past

April 18, 1984 - May 26, 1987

WOLFE & HURST SECURITIES INC.

CRD#: 7352

Past

September 21, 1983 - September 28, 1984

BECKER PARIBAS INCORPORATED

CRD#: 7635

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/3/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Current Firm

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

85 Broad Street 22nd Floor, New York, NY 10004

Mailing Address

85 Broad Street 22nd Floor, Ny, NY 10004

Phone number

(212) 668-8000

Established

New York since 12/23/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,883

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)

OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

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	Cover Page	Report
10/25/2023	Cover Page	Report
02/24/2023	Cover Page	Report

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.

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Thomas W. Lundon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

TUCKER ANTHONY INCORPORATED

TULLETT & TOKYO SECURITIES, INC.

CANTOR FITZGERALD SECURITIES

MINT BROKERS

WOLFE & HURST BOND BROKERS INC.

WOLFE & HURST SECURITIES INC.

BECKER PARIBAS INCORPORATED

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/2000

Series 63

Date: 8/22/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1983

Current Firm

OPPENHEIMER & CO. INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CO. INC.

TRUST BUT VERIFY

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