Thomas C. Brown
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 Cyril Brown was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 5 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2000 - February 10, 2003
SOUNDVIEW TECHNOLOGY CORPORATION
September 18, 2000 - October 24, 2000
ADVEST, INC.
September 20, 1999 - July 5, 2000
ABN AMRO SECURITIES LLC
November 14, 1994 - September 13, 1999
JEFFERIES LLC
March 8, 1993 - November 11, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
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 55
Date: 2/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
SOUNDVIEW TECHNOLOGY CORPORATION
CRD#: 15425 / SEC#: , 8-32227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUNDVIEW TECHNOLOGY GROUP, INC. | HOLDING COMPANY | |
| HERVEY, JOHN DAVID | PRESIDENT-MEMBER OF BOARD OF DIRECTORS- HEAD OF RESEARCH | 1735317 |
| JAMPOL, CRAIG BRIAN | MANAGING DIRECTOR - HEAD OF SYNDICATE | 1022127 |
| LAFAUCI, JOSEPHINE DOMINIQUE | PRINCIPAL - HEAD OF COMPLIANCE | 1265427 |
| LOEHR, MARK FREDERICK | CHIEF EXECUTIVE OFFICER-MEMBER OF BOARD OF DIRECTORS | 502914 |
| MAUS, GERARD PETER | CHIEF FINANCIAL OFFICER | 2161442 |
Disclosures
| Regulatory Event | 6 |
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.
