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TD

Thomas L. Dooley

BREAN CAPITAL
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 1426361
TD
Thomas Leo Dooley IIIBREAN CAPITAL

Professional summary

Thomas Leo Dooley III is a registered financial professional currently at BREAN CAPITAL, LLC located in Atlanta, Georgia.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 13 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 7, Series 27, Series 53 and Series 24 exams.

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.
1) Florida Rental property; investment related; Florida; Rental Property; Co-Owner; starting in 2006; approx 2 hr/mo; no time devoted to the activity during trading hours; duties include paying bills for the property and other property ownership related matters. I am also on the HOA Board but do not have any control over finances. 2) Powell Realty Investments; investment related; Powell, OH; LLC for Rental Property; LLC Member; starting 10/17/2018; approx 10 hr/year; no time devoted to the activity during trading hours; provide capital and identify properties. 3) TOM AND JANE DOOLEY; INVESTMENT RELATED; POWELL, OH; VACATION/RENTAL PROPERTY IN FLORIDA; PROPERTY OWNER; START 2/19/22; 5 HRS/WK, NO TIME DEVOTED DURING SECURITIES TRADING HOURS; OWNS A PROPERTY WITH MY WIFE. 4) COLONY DON PEDRO I-III HOMEOWNERS ASSOCIATION; NON-INVESTMENT RELATED; PLACIDA, FL; VICE PRESIDENT OF BOARD; START 1/24/23; 2 HR/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; VOTING ON HOA AFFAIRS AND BUDGET ITEMS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Leo Dooley III's 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

July 29, 2026 - Present

BREAN CAPITAL, LLC

Office #1: 3414 Peachtree Road Ne Suite 750, Atlanta, GA 30326
BD
CRD#: 23723
Atlanta, GA
Past

June 10, 2020 - August 3, 2026

D.A. DAVIDSON & CO.

RIA
CRD#: 199
POWELL, OH
Past

May 1, 2018 - August 3, 2026

D.A. DAVIDSON & CO.

BD
CRD#: 199
POWELL, OH
Past

September 23, 2009 - May 1, 2018

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
POWELL, OH
Past

March 13, 2009 - October 1, 2009

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
DUBLIN, OH
Past

March 13, 2009 - October 1, 2009

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
DUBLIN, OH
Past

May 18, 2006 - March 13, 2009

FERRIS, BAKER WATTS, LLC

RIA
CRD#: 285
DUBLIN, OH
Past

March 6, 2006 - March 13, 2009

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
DUBLIN, OH
Past

July 12, 2001 - March 7, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
DUBLIN, OH
Past

August 2, 2000 - March 7, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
DUBLIN, OH
Past

October 20, 1999 - July 31, 2000

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

December 23, 1996 - November 4, 1999

QUANTUM CAPITAL CORPORATION

BD
CRD#: 42307
COLUMBUS, OH
Past

April 6, 1995 - December 24, 1996

THE HAMILTON-SHEA GROUP, INC.

BD
CRD#: 37526
POMPANO BEACH, FL
Past

January 14, 1992 - December 7, 1994

OMNI FINANCIAL SECURITIES, INC.

BD
CRD#: 29320
COLUMBUS, OH
Past

December 18, 1989 - January 3, 1992

OMNI CAPITAL MARKETS, INCORPORATED

BD
CRD#: 23583
Past

March 9, 1989 - January 2, 1990

CAMELOT INVESTMENT CORP.

BD
CRD#: 21925
Past

October 22, 1985 - February 27, 1989

CORNA AND CO., INC.

BD
CRD#: 8124

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
(8/4/2026)
RR
Colorado
(7/29/2026)
RR
Georgia
(7/29/2026)
RR
Illinois
(8/4/2026)
RR
Indiana
(8/4/2026)
RR
Kentucky
(8/3/2026)
RR
Maryland
(7/29/2026)
RR
Michigan
(7/29/2026)
RR
Mississippi
(7/29/2026)
RR
Nebraska
(7/29/2026)
RR
New Jersey
(8/4/2026)
RR
New York
(7/29/2026)
RR
North Carolina
(7/29/2026)
RR
Ohio
(7/29/2026)
RR
Pennsylvania
(7/29/2026)
RR
Virginia
(7/29/2026)
RR
Washington
(8/5/2026)
RR
West Virginia
(7/29/2026)
RR
Wisconsin
(7/29/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/20/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/3/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/4/1990
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/25/1989
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/9/1987
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BC
BREAN CAPITAL, LLC
BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.

CRD#: 23723 / SEC#: , 8-40742

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

Main Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Mailing Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Phone number
(212) 702-6500
Established
Delaware since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
BMUR HOLDINGS, LLCHOLDING COMPANY
HUNT FS HOLDINGS III, LLCHOLDING COMPANY
ALLURED LLCHOLDING COMPANY
LIZINATOR LLCHOLDING COMPANY
BREAN CAPITAL HOLDINGS, LLCHOLDING COMPANY
CORWEN, STEPHEN MILLERHEAD OF MBS/ABS SALES2943061
FINE, ROBERT MICHAELCHIEF EXECUTIVE OFFICER1450313
GUZMAN, JEFFREY MCHIEF COMPLIANCE OFFICER3095123
LAMARSH, JONATHAN ANDREWPRINCIPAL OPERATIONS OFFICER5436335
MACKLIN, JOHN TIMOTHYPRINCIPAL OPERATIONS OFFICER1446800
SARABELLA, ARNOLDCHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER1717059
TIRSCHWELL, ROBERT MOYSEEXECUTIVE MANAGING DIRECTOR2230453

Disclosures

Regulatory Event12

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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Company Information

BREAN CAPITAL, LLC

CRD#: 23723Atlanta, GA 30326

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