Keith A. Thomas

OLD CITY SECURITIES LLC

New York, NY 10017

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CRD#: 1297034

Professional summary

Keith A Thomas, who also goes by Keith Allison Thomas, is a registered financial professional currently at OLD CITY SECURITIES LLC located in New York, New York.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1984. Keith has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith Allison Thomas

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 Keith A Thomas's CRS (Customer Relationship Summary).

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

October 23, 2020 - Present

OLD CITY SECURITIES LLC

Office #1: 589 Fifth Avenue Ph, New York, NY 10017

CRD#: 171910

New York, NY

Past

February 15, 2013 - October 26, 2020

OCP CAPITAL, LLC

CRD#: 143381

BEDFORD HILLS,, NY

Past

July 14, 2009 - September 12, 2011

EIM SECURITIES (USA) INC.

CRD#: 40065

NEW YORK, NY

Past

January 16, 2007 - February 11, 2008

GEM ADVISORS, INC.

CRD#: 20624

NEW YORK, NY

Past

August 8, 2000 - February 9, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 12, 1995 - July 13, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 31, 1993 - July 5, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 25, 1984 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(10/23/2020)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/12/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/1984

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: 10/20/1984

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/6/1983

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

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

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Contact information

Main Address

589 Fifth Avenue Ph, New York, NY 10017

Mailing Address

445 Central Avenue, Suite 328, Cedarhurst, NY 11516

Phone number

(212) 671-1976

Established

New York since 04/25/2014

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
OLD CITY SECURITIES HOLDINGS GP	HOLDING COMPANY
BARNETT, TREVOR CLARK	MEMBER	4722196
DAMSKI, SETH ADAM	FOUNDING MEMBER	2940303
FELDMAN, EYTAN DOV	MEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR	5708084
MARRONE, MICHAEL THOMAS	FINOP
SIRIGNANO, GEORGE AMERICUS	MANAGING MEMBER	6678999

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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Advisor Monitoring

Firm Stability Insights

Keith A. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith A Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

OCP CAPITAL, LLC

EIM SECURITIES (USA) INC.

GEM ADVISORS, INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/1992

Series 63

Date: 11/1/1984

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Series 3

Date: 10/6/1983

FINRA

Current Firm

OLD CITY SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OLD CITY SECURITIES LLC

TRUST BUT VERIFY

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