Thomas C. Enright
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 Christopher Enright was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 6 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2013 - December 4, 2013
FIRST NEW YORK SECURITIES L.L.C.
December 12, 2011 - June 4, 2013
AGILE PT GROUP LLC
February 3, 2010 - December 7, 2011
G-2 TRADING,LLC
January 10, 2007 - February 1, 2010
DAVIS SECURITIES LLC
February 1, 2006 - December 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 25, 1997 - September 26, 2001
FIRST NEW YORK SECURITIES L.L.C.
August 18, 1995 - March 10, 1997
LADENBURG THALMANN & CO. INC.
March 22, 1993 - August 10, 1995
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
December 23, 1983 - October 11, 1985
DEAM INVESTOR SERVICES, INC.
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: 2/12/2007
Limited Representative-Equity Trader ExamCurrent Firm
FIRST NEW YORK SECURITIES L.L.C.
CRD#: 16362 / SEC#: , 8-33753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FNY PARTNERS FUND LP | OWNER | |
| BROKAW, LLOYD BRUCE | MANAGING MEMBER | 31368 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| MIRON, RUSSEL LEEDS | CHIEF OPERATING OFFICER | 1509249 |
| MOTSCHWILLER, DONALD ERIC | CHIEF EXECUTIVE OFFICER | 1454120 |
| NOORANI, FARAZ AMIR | MANAGING MEMBER | 4983674 |
| SABATINI, DONNA ANN | CHIEF FINANCIAL OFFICER | 2352318 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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