Thomas R. Wright
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 Rowe Wright, who also goes by Thomas Wright, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 15, Series 5, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2013 - August 7, 2023
CITIZENS JMP SECURITIES, LLC
August 16, 2004 - July 25, 2012
SANFORD C. BERNSTEIN & CO., LLC
January 14, 2002 - February 27, 2003
HERZOG, HEINE, GEDULD, LLC
August 22, 1994 - February 20, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 7, 1986 - August 2, 1994
GOLDMAN SACHS & CO. LLC
September 21, 1983 - October 16, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/9/1999
Limited Representative-Equity Trader ExamSeries 15
Date: 12/19/1986
Foreign Currency Options ExaminationSeries 5
Date: 12/4/1986
Interest Rate Options ExaminationSeries 8
Date: 1/26/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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