Thomas H. Yorke

OCEANIC CAPITAL MANAGEMENT

Red Bank, NJ 07701

CRD#: 1499991

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Professional summary

Thomas Hosford Yorke, CFP® is a registered financial advisor currently at OCEANIC CAPITAL MANAGEMENT LLC located in Red Bank, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 3, Series 7, Series 4 and Series 24 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Investment Planning

Comprehensive Financial Planni...

Inheritance

Estate Planning

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Thomas Hosford Yorke'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

April 4, 2008 - Present

OCEANIC CAPITAL MANAGEMENT LLC

Office #1: 125 Half Mile Road Suite 200, Red Bank, NJ 07701

RIA

CRD#: 146135

Red Bank, NJ

Past

July 31, 2015 - July 28, 2016

OSAIC SERVICES, INC.

CRD#: 133763

RED BANK, NJ

Past

September 8, 2010 - July 23, 2013

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

NEW YORK, NY

Past

January 29, 2008 - August 31, 2010

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEW YORK, NY

Past

January 9, 2006 - January 9, 2007

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

October 13, 1997 - December 31, 2005

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

June 13, 1996 - October 1, 1997

TOKAI SECURITIES, INC.

CRD#: 25328

NEW YORK, NY

Past

August 18, 1989 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

August 18, 1989 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

May 14, 1988 - March 28, 1996

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 23, 1986 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(4/4/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/10/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/4/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/2/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 1/24/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/16/2003

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/20/2001

General Securities Principal Examination

Current Firm

OCEANIC CAPITAL MANAGEMENT LLC

CRD#: 146135 / SEC#:

New Jersey

Registered Investment Advisory firm - (4/4/2008 Approved)

New York

Registered Investment Advisory firm - (12/31/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/25/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

125 Half Mile Road Suite 200, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 345-1533

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	196
AUM (Assets Under Management)	$ 59,165,560

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas H. Yorke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Hosford Yorke's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC SERVICES, INC.

ADVISORS ASSET MANAGEMENT, INC.

DINOSAUR FINANCIAL GROUP, L.L.C

REFCO SECURITIES, LLC

REFCO SECURITIES, LLC

TOKAI SECURITIES, INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2008

Series 63

Date: 5/4/1987

SIE

Date: 7/28/2016

Series 55

Date: 10/2/2002

Series 3

Date: 1/24/1995

Series 7

Date: 7/19/1986

Series 4

Date: 10/16/2003

Series 24

Date: 3/20/2001

Current Firm

OCEANIC CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OCEANIC CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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