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TH

Thomas John Hopkins

BROCK SECURITIES

NEW YORK, NY

·CRD# 1835087·17 years experience

Professional Summary

Thomas John Hopkins is a registered financial advisor currently at BROCK SECURITIES LLC located in New York, New York and DUCERA SECURITIES LLC located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 44 firms and has passed the SIE, Series 99TO, Series 27 and Series 28 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

17 years in the financial services industry

Current & Past Employments

BROCK SECURITIES LLC·CRD# 122156

BD

505 Park Ave 14th Floor, New York, NY 10022

September 28, 2015 - Present

DUCERA SECURITIES LLC·CRD# 269984

BD

1. 11 Times Square, Floor 36, New York, NY 100362. 11 Times Square, Floor 36, New York, NY 10036

February 11, 2016 - Present

SC&H CAPITAL CORPORATION·CRD# 148291

BD

1. 11000 Broken Land Parkway, Columbia, MD 210442. 11000 Broken Land Parkway 5th Floor, Columbia, MD 21044

March 1, 2016 - Present

SHOT TOWER SECURITIES LLC·CRD# 169678

BD

1. Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 212102. Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210

March 2, 2016 - Present

DYNASTY SECURITIES, LLC·CRD# 159076

BD

200 Central Avenue Floor 15, Saint Petersburg, FL 33701

December 7, 2016 - Present

SAF FINANCIAL SECURITIES LLC·CRD# 284938

BD

269 Red Fox Road, Stamford, CT 06903

June 2, 2017 - Present

STONINGTON DRIVE SECURITIES LLC·CRD# 287876

BD

51 Jfk Parkway First Floor West, Short Hills, NJ 07078

August 21, 2017 - Present

INCENTRUM SECURITIES, LLC·CRD# 288831

BD

410 Park Avenue, New York, NY 10022

October 20, 2017 - Present

D.M. KELLY & COMPANY·CRD# 38770

BD

3900 Ingersoll Avenue Suite 300, Des Moines, IA 50312

January 24, 2018 - Present

WATERWAY CAPITAL LLC·CRD# 128212

BD

699 Boylston Street Eighth Floor, Boston, MA 02116

April 26, 2018 - Present

LEVEL FOUR FINANCIAL, LLC·CRD# 25700

BD

3605 Springhill Business Park, Suite A, Mobile, AL 36608

July 12, 2018 - Present

CAPACUITY SECURITIES, INC.·CRD# 15384

BD

300 International Pkwy, #350, Lake Mary, FL 32746

February 27, 2019 - Present

LAS OLAS CAPITAL PARTNERS, LLC·CRD# 297905

BD

200 Sw First Avenue Suite 1070, Ft. Lauderdale, FL 33301

March 1, 2019 - Present

USQ SECURITIES LLC·CRD# 299008

BD

403 E. 90th Street #1rw, New York, NY 10128

July 2, 2019 - Present

CONFIGURE PARTNERS SECURITIES, LLC·CRD# 165594

BD

3344 Peachtree Road Ne Suite 1500, Atlanta, GA 30326

May 11, 2020 - Present

KNOWN GROWTH LLC·CRD# 322351

BD

1900 Broadway 7th Floor, New York, NY 10023

December 7, 2023 - Present

AVENUE SECURITIES LLC·CRD# 292589

BD

2601 S Bayshore Drive Suite 1100, Miami, FL 33133

January 3, 2024 - Present

CRC-IB·CRD# 158736

BD

220 E42nd Street 35th Floor, New York, NY 10017

July 8, 2024 - Present

JW & CO.·CRD# 326627

BD

5700 S Aspen Ct, Greenwood Village, CO 80121

March 6, 2025 - Present

AMG DISTRIBUTORS, INC.·CRD# 27314

BD

680 Washington Blvd Suite 500, Stamford, CT 06901

August 1, 2025 - Present

DAYBRIGHT SECURITIES, LLC·CRD# 293128

BD

99 Wood Avenue South Suite 501, Iselin, NJ 08830

September 3, 2025 - Present

MCSA SECURITIES LLC·CRD# 335417

BD

2200 Atlantic Street Suite 501, Stamford, CT 06902

November 14, 2025 - Present

HILCO CORPORATE FINANCE, LLC·CRD# 282060

BD

333 W Wacker Suite 2250, Chicago, IL 60606

January 8, 2026 - Present

TELESIS SECURITIES LLC·CRD# 338007

BD

111 N. Orange Ave. Suite 925, Orlando, FL 32801

March 11, 2026 - Present

CLEARLAKE CAPITAL MARKETS, LLC·CRD# 337762

BD

233 Wilshire Blvd Suite 800, Santa Monica, CA 90401

May 29, 2026 - Present

GORDON DYAL & CO., LLC·CRD# 284175

BD

152 West 57th Street 39th Floor, New York, NY, 10019

August 31, 2026 - Present

MERIT SECURITIES, LLC·CRD# 165470

BD

Gig Harbor, WA

September 12, 2023 - September 17, 2025

AMG DISTRIBUTORS, INC.·CRD# 27314

BD

Stamford, CT

July 14, 2023 - July 8, 2025

NORTHBOUND SECURITIES LLC·CRD# 314549

BD

Weston, FL

December 21, 2021 - April 20, 2023

OPENDOOR SECURITIES LLC·CRD# 226581

BD

Jersey City, NJ

March 24, 2020 - August 6, 2021

ALDWYCH SECURITIES LLC·CRD# 167980

BD

Stamford, CT

July 11, 2019 - June 17, 2020

CAMMACK LARHETTE BROKERAGE, INC.·CRD# 109906

BD

New York, NY

January 11, 2019 - October 11, 2021

MERIT SECURITIES, LLC·CRD# 165470

BD

Gig Harbor, WA

July 31, 2018 - March 25, 2020

LM + CO. CAPITAL·CRD# 154583

BD

Huntington, NY

April 26, 2018 - November 5, 2019

H.C.WAINWRIGHT & CO., LLC·CRD# 375

BD

New York, NY

July 20, 2016 - March 15, 2017

USRP EQUITIES, LLC·CRD# 149113

BD

Iselin, NJ

June 1, 2016 - September 30, 2025

PAS CAPITAL, LLC·CRD# 41498

BD

Fox River Grove, IL

April 12, 2016 - May 1, 2020

GROUPARGENT SECURITIES, LLC·CRD# 136159

BD

New York, NY

March 24, 2016 - August 29, 2023

CASTLE PLACEMENT, LLC·CRD# 189511

BD

Long Beach, NY

November 13, 2015 - January 2, 2019

LEVEL MARKETS, LLC·CRD# 171752

BD

Boston, MA

October 6, 2015 - March 3, 2021

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC·CRD# 103340

BD

Newburgh, NY

August 10, 2015 - October 28, 2016

OTKRITIE CAPITAL U.S. INC.·CRD# 155187

BD

New York, NY

June 16, 2015 - November 29, 2017

DEUTSCHE BANK SECURITIES INC.·CRD# 2525

BD

New York, NY

October 14, 2013 - January 30, 2015

CANTOR FITZGERALD & CO.·CRD# 134

BD

New York, NY

June 10, 2013 - September 18, 2013

TD ARRANGED SERVICES LLC·CRD# 122529

BD

New York, NY

February 12, 2010 - May 31, 2011

LABRANCHE & CO. LLC·CRD# 32661

BD

New York, NY

August 11, 2006 - March 21, 2011

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Current Firm

GD

GORDON DYAL & CO., LLC

DYAL CO. LLC | GORDON DYAL & CO., LLC | DYAL CO., LLC

CRD#: 284175 / SEC#: 8-69791

BD

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

Contact Information

Main Address

152 West 57th Street 39th Floor, New York, NY, 10019

Mailing Address

152 West 57th Street 39th Floor, New York, NY, 10019

Phone Number

(212) 321-4010

Established

Delaware since 05/25/2015

Firm Type

Limited Liability Company

Fiscal Year End

September

Firm Size

Small

FINRA licenses (5 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
GORDON DYAL & CO. ADVISORY GROUP LP	MEMBER	—
DYAL, GORDON ERIK	FOUNDING PARTNER, PRESIDENT, CEO, CCO	1754008
DYAL, JILL AXELROD	COO, CFO, AMLCO, EXECUTIVE REP	3104227
HOPKINS, THOMAS JOHN	FINOP	1835087

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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.

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Jan 2023About the SIE exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 27 — Financial and Operations Principal Examination

Passed Jan 2023About the Series 27 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Jan 2023About the Series 28 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Thomas John Hopkins's CRS (Customer Relationship Summary).

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TH

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