Thomas J. Quigley

OCEANUS SECURITIES

NEW YORK, NY 10175

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CRD#: 1716324

Professional summary

Thomas Joseph Quigley, who also goes by Thomas J Quigley, Thomas Joseph Quigley III, Tom Quigley, is a registered financial professional currently at OCEANUS SECURITIES, LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 16 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas J Quigley | Thomas Joseph Quigley Iii | Tom Quigley

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 Joseph Quigley'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

September 20, 2023 - Present

OCEANUS SECURITIES, LLC

Office #1: 521 Fifth Avenue 37th Floor, New York, NY 10175

CRD#: 133798

NEW YORK, NY

Past

July 31, 2018 - November 4, 2022

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

April 23, 2013 - August 14, 2018

WALLACHBETH CAPITAL LLC

CRD#: 147853

JERSEY CITY, NJ

Past

May 4, 2011 - January 3, 2012

FOX RIVER EXECUTION TECHNOLOGY, LLC

CRD#: 133549

NEW YORK, NY

Past

December 11, 2007 - November 21, 2012

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

NEW YORK, NY

Past

March 26, 2007 - October 15, 2007

EDGETRADE LLC

CRD#: 42071

JERSEY CITY, NJ

Past

December 3, 2003 - February 13, 2006

COWEN EXECUTION SERVICES LLC

CRD#: 35693

NEW YORK, NY

Past

October 11, 2001 - February 25, 2004

CONOR PETERSON LLC

CRD#: 111343

IRVING, TX

Past

June 3, 1997 - June 20, 2001

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

March 17, 1994 - November 27, 1996

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

January 23, 1993 - March 1, 1994

M.S. FARRELL & COMPANY, INC.

CRD#: 24232

SYOSSET, NY

Past

August 13, 1991 - February 23, 1993

HANOVER, STERLING & COMPANY LTD.

CRD#: 15491

NEW YORK, NY

Past

June 18, 1991 - August 23, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 6, 1991 - May 6, 1991

BERKELEY SECURITIES CORPORATION

CRD#: 8397

NEW YORK, NY

Past

January 31, 1990 - February 14, 1991

GLOBAL CAPITAL SECURITIES, INC.

CRD#: 13358

Past

February 14, 1989 - January 27, 1990

J. T. MORAN & CO., INC.

CRD#: 15655

Past

January 24, 1989 - February 14, 1989

BAILEY, MARTIN & APPEL, INC.

CRD#: 15833

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

New York
(8/22/2024)

Exams

State Security Law Exam

Series 63

Date: 7/31/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/6/2014

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/20/2001

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

OCEANUS SECURITIES, LLC

CRD#: 133798 / SEC#: , 8-66772

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

521 Fifth Avenue 37th Floor, New York, NY 10175

Mailing Address

521 Fifth Avenue 37th Floor, New York, NY 10175

Phone number

(212) 509-5600

Established

Delaware since 10/16/2003

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OCEANUS ASSOCIATES LLC	MEMBER
CAMPBELL, ROBERT NMN	FINOP, PFO, POO	1349154
EARLYWINE, MICHAEL JOHN	CCO	2166679
GAMBHIR, NITIN	PRESIDENT	2632026

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas J. Quigley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Quigley's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALL STREET ACCESS

WALLACHBETH CAPITAL LLC

FOX RIVER EXECUTION TECHNOLOGY, LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

EDGETRADE LLC

COWEN EXECUTION SERVICES LLC

CONOR PETERSON LLC

WALL STREET ACCESS

GRUNTAL & CO., L.L.C.

M.S. FARRELL & COMPANY, INC.

HANOVER, STERLING & COMPANY LTD.

LEHMAN BROTHERS INC.

BERKELEY SECURITIES CORPORATION

GLOBAL CAPITAL SECURITIES, INC.

J. T. MORAN & CO., INC.

BAILEY, MARTIN & APPEL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/2008

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 6/6/2014

Series 7

Date: 1/21/1989

Series 4

Date: 2/20/2001

FINRA

Current Firm

OCEANUS SECURITIES, LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OCEANUS SECURITIES, LLC

TRUST BUT VERIFY

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