Thomas C. Rowley

BRIGHTHOUSE SECURITIES

Charlotte, NC

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CRD#: 1471266

Professional summary

Thomas Christopher Rowley, who also goes by Thomas Rowley, is a registered financial professional currently at BRIGHTHOUSE SECURITIES, LLC located in Charlotte, North Carolina.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Rowley

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.

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CRS (Client Relationship Summary) - BD

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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

February 15, 2023 - Present

BRIGHTHOUSE SECURITIES, LLC

CRD#: 285300

Charlotte, NC

Past

June 1, 2010 - November 18, 2020

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

DOWNERS GROVE, IL

Past

November 11, 1996 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

Past

July 19, 1993 - November 13, 1996

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

June 27, 1991 - February 10, 1993

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 8, 1988 - July 12, 1991

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

Past

May 15, 1987 - September 8, 1987

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

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

Illinois
(8/9/2023)

Montana
(8/29/2023)

New Mexico
(12/19/2024)

New York
(8/12/2023)

Exams

State Security Law Exam

Series 63

Date: 8/4/2023

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: 7/18/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/7/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BRIGHTHOUSE SECURITIES, LLC

CRD#: 285300 / SEC#: , 8-69845

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

11225 North Community House Road, Charlotte, NC 28277

Mailing Address

11225 North Community House Road, Charlotte, NC 28277

Phone number

(800) 848-3854

Established

Delaware since 02/01/2000

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

Name	Position	CRD#
BRIGHTHOUSE HOLDINGS, LLC	SOLE MEMBER (SHAREHOLDER)
BEAULIEU, PHILIP JOHNATHON	VICE PRESIDENT	5300540
DAVIS, MICHAEL BENJAMIN	VICE PRESIDENT	1742347
LAMBERT, MYLES JOSEPH	CHAIRMAN PRESIDENT AND CEO	3107551
LEINTZ, DONALD ANTHONY	VICE PRESIDENT	4374813
MACILVANE, KEVIN MICHAEL JR	VICE PRESIDENT	5164574
MARTINEZ, JOHN GREGORY	PRINCIPAL FINANCIAL OFFICER	2210722
MORGAN, JANET MARIE	VICE PRESIDENT	6770849
NIGRO, GERARD JOSEPH	SENIOR VICE PRESIDENT	1577003
PROHONIC, KRISTIN LEE	CHIEF COMPLIANCE OFFICER	3048592

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.

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Firm Stability Insights

Thomas C. Rowley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Christopher Rowley's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESCO DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

WELLS FARGO CLEARING SERVICES, LLC

KEMPER FINANCIAL SERVICES, INC.

KEMPER FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/4/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 6

Date: 11/7/1986

FINRA

Current Firm

BRIGHTHOUSE SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BRIGHTHOUSE SECURITIES, LLC

TRUST BUT VERIFY

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