Thomas D. Orourke
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 Damian Orourke, who also goes by Tom O'rourke, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 16 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2016 - October 3, 2016
WESTPARK CAPITAL, INC.
December 15, 2014 - March 23, 2015
LEGEND SECURITIES, INC.
February 16, 2011 - October 16, 2013
OBSIDIAN FINANCIAL GROUP, LLC
February 14, 2001 - July 24, 2001
EMERSON BENNETT & ASSOCIATES
April 24, 1995 - June 1, 1999
THE THORNWATER COMPANY, L.P.
September 30, 1994 - March 6, 1995
BARINGTON CAPITAL GROUP, L.P.
May 5, 1994 - August 30, 1994
D. BLECH & COMPANY, INCORPORATED
September 23, 1992 - March 28, 1994
BARINGTON CAPITAL GROUP, L.P.
February 6, 1992 - October 9, 1992
LEHMAN BROTHERS INC.
September 11, 1991 - January 22, 1992
INVESTORS ASSOCIATES, INC.
June 25, 1991 - September 16, 1991
INSTITUTIONAL EQUITY CORPORATION
January 7, 1991 - June 26, 1991
FIRST MONTAUK SECURITIES CORP.
December 6, 1989 - January 8, 1991
COMMONWEALTH ASSOCIATES
May 5, 1989 - December 16, 1989
GRUNTAL & CO., L.L.C.
March 25, 1988 - May 13, 1989
D. H. BLAIR & CO., INC.
March 7, 1988 - December 16, 1989
GRUNTAL & CO., L.L.C.
June 3, 1987 - March 8, 1988
MOSELEY SECURITIES CORPORATION
August 5, 1986 - May 20, 1987
D. H. BLAIR & CO., INC.
July 16, 1985 - July 31, 1986
ROONEY, PACE INC.
March 19, 1985 - July 17, 1985
D. H. BLAIR & CO., INC.
Primary Firm SEC Registration
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
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
Current Firm
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
Contact information
SEC notice filing (22 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
