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TB

Thomas A. Byrne

DOWLING & PARTNERS SECURITIES LLC
Farmington, CT 06032
Some features on this profile are disabled
CRD#: 1334509
TB

Professional summary

Thomas Arthur Byrne is a registered financial professional currently at DOWLING & PARTNERS SECURITIES LLC located in Farmington, Connecticut.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Thomas Arthur Byrne'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

January 24, 2014 - Present

DOWLING & PARTNERS SECURITIES LLC

Office #1: 190 Farmington Avenue, Farmington, CT 06032Office #2: 190 Farmington Avenue, Farmington, CT 06032
BD
CRD#: 24746
Farmington, CT
Past

December 1, 2009 - November 29, 2010

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
WEST HARTFORD, CT
Past

August 8, 2001 - December 1, 2009

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
WEST HARTFORD, CT
Past

February 21, 1985 - August 6, 2001

CONNING & COMPANY

BD
CRD#: 1512
OAKBROOK TERRACE, IL

State Registrations and Notice Filings

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

RR
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

RR
California
(7/5/2022)
RR
Connecticut
(1/27/2014)
RR
Florida
(12/16/2021)
RR
Illinois
(12/20/2021)
RR
Massachusetts
(7/5/2022)
RR
New Hampshire
(7/5/2022)
RR
New York
(7/5/2022)
RR
Ohio
(1/23/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/5/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/30/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/12/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

D&
DOWLING & PARTNERS SECURITIES LLC
DOWLING & PARTNERS SECURITIES LLC | PAULSEN, DOWLING SECURITIES, INC. | PAULSEN, DOWLING SECURITIES LLC | PAULSEN SECURITIES, INC. | DOWLING HALES, LLC

CRD#: 24746 / SEC#: , 8-35658

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Farmington Avenue, Farmington, CT 06032
Mailing Address
190 Farmington Avenue, Farmington, CT 06032
Phone number
(860) 676-8600
Established
Connecticut since 07/01/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DOWLING CORPORATION100% OWNER
BYRNE, THOMAS ARTHURPRESIDENT/CEO/EXECUTIVE REPRESENTATIVE1334509
DOWLING, VERONICA ALVAREZCHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER5166888
HANLEY, JOSEPH PATRICK JRHEAD TRADER3060247
HILBIE, KRISTA ANNCHIEF COMPLIANCE OFFICER1712680
LENT, BRENNA SULLIVANMEMBER2399560
NIXON, JON ALANFINOP4710715

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.

Company Information

DOWLING & PARTNERS SECURITIES LLC

CRD#: 24746Farmington, CT 06032

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