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TW

Thomas B. Wilcock

ABSA SECURITIES U.S.
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 1530576
TW

Professional summary

Thomas Bray Wilcock JR, who also goes by Thomas Bray Wilcock, Thomas Wilcock, is a registered financial professional currently at ABSA SECURITIES U.S. INC. located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Bray Wilcock | Thomas Wilcock

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) - BD

Click below to view Thomas Bray Wilcock JR'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

December 18, 2020 - Present

ABSA SECURITIES U.S. INC.

Office #1: 780 Third Avenue Suite 3001, New York, NY 10017Office #2: 780 Third Avenue Suite 3001, New York, NY 10017
BD
CRD#: 299729
NEW YORK, NY
Past

July 30, 2019 - December 10, 2020

LIQUIDNET, INC.

BD
CRD#: 103987
NEW YORK, NY
Past

January 4, 2018 - April 10, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
NEW YORK, NY
Past

April 20, 2017 - April 10, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

December 13, 2005 - April 17, 2017

ICBC STANDARD SECURITIES INC.

BD
CRD#: 35560
NEW YORK, NY
Past

April 19, 2004 - October 21, 2005

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

July 1, 2003 - April 19, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 1, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 24, 1997 - November 30, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 9, 1987 - February 21, 1997

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

October 15, 1986 - February 21, 1997

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209

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
(12/10/2024)
RR
Connecticut
(12/10/2024)
RR
Illinois
(12/10/2024)
RR
New York
(12/18/2020)
RR
Pennsylvania
(12/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/6/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/20/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/4/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/18/2021
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/25/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/18/2002
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ABSA SECURITIES U.S. INC.
ABSA SECURITIES U.S. INC.

CRD#: 299729 / SEC#: , 8-70312

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
610 Fifth Avenue Suite 405, New York, NY 10020
Mailing Address
610 Fifth Avenue Suite 405, New York, NY 10020
Phone number
(646) 844-0282
Established
Delaware since 09/06/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ABSA GROUP LIMITEDDIRECT PARENT
BERGHERR, DIANA ELIZABETHCHIEF COMPLIANCE OFFICER1092501
GLYNN, MICHAEL GERARDFINOP3219445
KLINTWORTH, GARTHCHIEF EXECUTIVE OFFICER8070592

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.

Company Information

ABSA SECURITIES U.S. INC.

CRD#: 299729New York, NY 10017

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