Thomas E. Browne
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 Edward Browne JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
September 13, 2010 - February 28, 2017
KEELEY INVESTMENT CORP.
November 23, 1999 - September 26, 2000
PALISADE CAPITAL SECURITIES, L.L.C.
August 11, 1993 - November 10, 1999
PRUDENTIAL EQUITY GROUP, LLC
February 13, 1986 - September 14, 1992
FIDELITY BROKERAGE SERVICES LLC
July 27, 1985 - February 26, 1986
THE STUART-JAMES COMPANY, 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 8
Date: 3/9/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KEELEY INVESTMENT CORP.
CRD#: 7346 / SEC#: , 8-21353
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
