TD
Thomas B. Dequinzio
BNY MELLON CAPITAL MARKETS
New York, NY 10286
Some features on this profile are disabled
CRD#: 1671323
TD
Professional summary
Thomas Bart Dequinzio, who also goes by Bulldog Dequinzio, Claude Dequinzio, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 8 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bulldog Dequinzio | Claude Dequinzio
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Bart Dequinzio'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®
NoneExperience
Current
March 30, 2012 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 17454
New York, NY
Past
September 9, 2005 - April 3, 2012
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
May 1, 2003 - September 9, 2005
PERSHING ADVISOR SOLUTIONS LLC
BD
CRD#: 36671
JERSEY CITY, NJ
Past
March 1, 2001 - May 1, 2003
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
July 19, 2000 - January 9, 2001
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
Past
April 11, 2000 - January 9, 2001
COLLINS STEWART (SECURITIES) INC.
BD
CRD#: 103746
NEW YORK, NY
Past
April 25, 1997 - March 21, 2000
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
March 21, 1997 - April 14, 1997
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
Past
April 18, 1995 - March 24, 1997
EASTBRIDGE CAPITAL INC.
BD
CRD#: 23858
NEW YORK, NY
Past
August 16, 1990 - March 30, 1995
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
July 25, 1987 - July 3, 1990
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
BD
CRD#: 19792
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
Alabama(1/7/2013)
RR
Alaska(1/7/2013)
RR
Arizona(1/7/2013)
RR
Arkansas(1/7/2013)
RR
California(1/7/2013)
RR
Colorado(1/7/2013)
RR
Connecticut(1/7/2013)
RR
Delaware(1/7/2013)
RR
District of Columbia(1/7/2013)
RR
Florida(1/7/2013)
RR
Georgia(1/7/2013)
RR
Hawaii(1/7/2013)
RR
Idaho(1/7/2013)
RR
Illinois(1/7/2013)
RR
Indiana(1/7/2013)
RR
Iowa(1/7/2013)
RR
Kansas(1/7/2013)
RR
Kentucky(1/7/2013)
RR
Louisiana(1/7/2013)
RR
Maine(1/7/2013)
RR
Maryland(1/7/2013)
RR
Massachusetts(1/7/2013)
RR
Michigan(1/7/2013)
RR
Minnesota(1/7/2013)
RR
Mississippi(1/7/2013)
RR
Missouri(1/7/2013)
RR
Montana(1/7/2013)
RR
Nebraska(1/7/2013)
RR
Nevada(1/7/2013)
RR
New Hampshire(1/7/2013)
RR
New Jersey(1/7/2013)
RR
New Mexico(1/7/2013)
RR
New York(3/30/2012)
RR
North Carolina(1/8/2013)
RR
North Dakota(1/7/2013)
RR
Ohio(1/7/2013)
RR
Oklahoma(1/7/2013)
RR
Oregon(1/7/2013)
RR
Pennsylvania(1/7/2013)
RR
Puerto Rico(1/7/2013)
RR
Rhode Island(1/7/2013)
RR
South Carolina(1/7/2013)
RR
South Dakota(1/7/2013)
RR
Tennessee(1/7/2013)
RR
Texas(1/7/2013)
RR
Utah(1/7/2013)
RR
Vermont(1/7/2013)
RR
Virginia(1/7/2013)
RR
Washington(1/7/2013)
RR
West Virginia(1/7/2013)
RR
Wisconsin(1/7/2013)
RR
Wyoming(1/7/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/19/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/17/2015
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BM
BNY MELLON CAPITAL MARKETS, LLC
BNY CAPITAL MARKETS | MELLON INVESTMENT PRODUCTS COMPANY | MELLON FINANCIAL SERVICES CORPORATION | MELLON FINANCIAL MARKETS, LLC | MELLON FINANCIAL MARKETS, INC. | BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
240 Greenwich Street, New York, NY 10286
Mailing Address
240 Greenwich Street 3rd Floor, New York, NY 10286
Phone number
(212) 815-4972
Established
Delaware since 12/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
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.
