Thomas J. Hopkins

BROCK SECURITIES LLC

New York, NY 10022

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CRD#: 1835087

Professional summary

Thomas John Hopkins is a registered financial professional 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 39 firms and has passed the SIE, Series 99TO, Series 27 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Thomas John Hopkins'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 28, 2015 - Present

BROCK SECURITIES LLC

Office #1: 505 Park Ave 14th Floor, New York, NY 10022

CRD#: 122156

New York, NY

Current

February 11, 2016 - Present

DUCERA SECURITIES LLC

Office #1: 11 Times Square, Floor 36, New York, NY 10036Office #2: 11 Times Square, Floor 36, New York, NY 10036

CRD#: 269984

New York, NY

Current

March 1, 2016 - Present

SC&H CAPITAL CORPORATION

Office #1: 11000 Broken Land Parkway, Columbia, MD 21044Office #2: 11000 Broken Land Parkway 5th Floor, Columbia, MD 21044

CRD#: 148291

COLUMBIA, MD

Current

March 2, 2016 - Present

SHOT TOWER SECURITIES LLC

Office #1: Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210Office #2: Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210

CRD#: 169678

Baltimore, MD

Current

December 7, 2016 - Present

DYNASTY SECURITIES, LLC

Office #1: 200 Central Avenue Floor 15, Saint Petersburg, FL 33701

CRD#: 159076

Saint Petersburg, FL

Current

June 2, 2017 - Present

SAF FINANCIAL SECURITIES LLC

Office #1: 269 Red Fox Road, Stamford, CT 06903

CRD#: 284938

STAMFORD, CT

Current

August 21, 2017 - Present

STONINGTON DRIVE SECURITIES LLC

Office #1: 51 Jfk Parkway First Floor West, Short Hills, NJ 07078

CRD#: 287876

Short Hills, NJ

Current

October 20, 2017 - Present

INCENTRUM SECURITIES, LLC

Office #1: 410 Park Avenue, New York, NY 10022

CRD#: 288831

New York, NY

Current

January 24, 2018 - Present

D.M. KELLY & COMPANY

Office #1: 3900 Ingersoll Avenue Suite 300, Des Moines, IA 50312

CRD#: 38770

Des Moines, IA

Current

April 26, 2018 - Present

WATERWAY CAPITAL LLC

Office #1: 699 Boylston Street Eighth Floor, Boston, MA 02116

CRD#: 128212

Boston, MA

Current

July 12, 2018 - Present

LEVEL FOUR FINANCIAL, LLC

Office #1: 3605 Springhill Business Park, Suite A, Mobile, AL 36608

CRD#: 25700

MOBILE, AL

Current

February 27, 2019 - Present

CAPACUITY SECURITIES, INC.

Office #1: 300 International Pkwy, #350, Lake Mary, FL 32746

CRD#: 15384

Lake Mary, FL

Current

March 1, 2019 - Present

LAS OLAS CAPITAL PARTNERS, LLC

Office #1: 888 E Las Olas Blvd. Suite 200, Ft. Lauderdale, FL 33301

CRD#: 297905

Ft. Lauderdale, FL

Current

July 2, 2019 - Present

USQ SECURITIES LLC

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

CRD#: 299008

New York, NY

Current

May 11, 2020 - Present

CONFIGURE PARTNERS SECURITIES, LLC

Office #1: 3344 Peachtree Road Ne Suite 1500, Atlanta, GA 30326

CRD#: 165594

Atlanta, GA

Current

December 7, 2023 - Present

KNOWN GROWTH LLC

Office #1: 31 Hudson Yards 11th Floor, New York, NY 10001

CRD#: 322351

New York, NY

Current

January 3, 2024 - Present

AVENUE SECURITIES LLC

Office #1: 2601 S Bayshore Drive Suite 1100, Miami, FL 33133

CRD#: 292589

Miami, FL

Current

July 8, 2024 - Present

CRC-IB

Office #1: 220 E42nd Street 35th Floor, New York, NY 10017

CRD#: 158736

New York, NY

Current

March 6, 2025 - Present

JW & CO.

Office #1: 5700 S Aspen Ct, Greenwood Village, CO 80121

CRD#: 326627

GREENWOOD VILLAGE, CO

Current

August 1, 2025 - Present

AMG DISTRIBUTORS, INC.

Office #1: 680 Washington Blvd Suite 500, Stamford, CT 06901

CRD#: 27314

Stamford, CT

Current

September 3, 2025 - Present

DAYBRIGHT SECURITIES, LLC

Office #1: 99 Wood Avenue South Suite 501, Iselin, NJ 08830

CRD#: 293128

Iselin, NJ

Past

September 12, 2023 - September 17, 2025

MERIT SECURITIES, LLC

CRD#: 165470

GIG HARBOR, WA

Past

July 14, 2023 - July 8, 2025

AMG DISTRIBUTORS, INC.

CRD#: 27314

STAMFORD, CT

Past

December 21, 2021 - April 20, 2023

NORTHBOUND SECURITIES LLC

CRD#: 314549

DELREY BEACH, FL

Past

March 24, 2020 - August 6, 2021

OPENDOOR SECURITIES LLC

CRD#: 226581

JERSEY CITY, NJ

Past

July 11, 2019 - June 17, 2020

ALDWYCH SECURITIES LLC

CRD#: 167980

STAMFORD, CT

Past

January 11, 2019 - October 11, 2021

CAMMACK LARHETTE BROKERAGE, INC.

CRD#: 109906

NEW YORK, NY

Past

July 31, 2018 - March 25, 2020

MERIT SECURITIES, LLC

CRD#: 165470

GIG HARBOR, WA

Past

April 26, 2018 - November 5, 2019

LM + CO. CAPITAL

CRD#: 154583

HUNTINGTON, NY

Past

July 20, 2016 - March 15, 2017

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

June 1, 2016 - September 30, 2025

USRP EQUITIES, LLC

CRD#: 149113

ISELIN, NJ

Past

April 12, 2016 - May 1, 2020

PAS CAPITAL, LLC

CRD#: 41498

FOX RIVER GROVE, IL

Past

March 24, 2016 - August 29, 2023

GROUPARGENT SECURITIES, LLC

CRD#: 136159

NEW YORK, NY

Past

November 13, 2015 - January 2, 2019

CASTLE PLACEMENT, LLC

CRD#: 189511

NEW YORK, NY

Past

October 6, 2015 - March 3, 2021

LEVEL MARKETS, LLC

CRD#: 171752

BOSTON, MA

Past

August 10, 2015 - October 28, 2016

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC

CRD#: 103340

NEWBURGH, NY

Past

June 16, 2015 - November 29, 2017

OTKRITIE CAPITAL U.S. INC.

CRD#: 155187

NEW YORK, NY

Past

October 14, 2013 - January 30, 2015

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

June 10, 2013 - September 18, 2013

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

February 12, 2010 - May 31, 2011

TD ARRANGED SERVICES LLC

CRD#: 122529

NEW YORK, NY

Past

August 11, 2006 - March 21, 2011

LABRANCHE & CO. LLC

CRD#: 32661

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

Principal/Supervisory Exam

Series 27

Date: 1/2/2023

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 28

Date: 1/2/2023

Introducing Broker/Dealer Financial Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

FINRA

Current Firm

DAYBRIGHT SECURITIES, LLC

DAYBRIGHT SECURITIES, LLC | MIDAMERICA SECURITIES, LLC

CRD#: 293128 / SEC#: , 8-70084

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

3003 S. Florida Ave. Suite 202, Lakeland, FL 33803

Mailing Address

P.o. Box 149, Lakeland, FL 33802

Phone number

(855) 279-9603

Established

Delaware since 11/06/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (20 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIDAMERICA ADMINISTRATIVE & RETIREMENT SOLUTIONS, LLC	SOLE MEMBER & MANAGER
HANCOCK BROWN, MELANIE JOY	CCO	7276213
HOPKINS, THOMAS JOHN	FINOP/PFO/POO	1835087
MUNOZ, COURTNEY ELIZABETH	PRESIDENT/CEO	4557980

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Hopkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

DUCERA SECURITIES LLC

SC&H CAPITAL CORPORATION

SHOT TOWER SECURITIES LLC

DYNASTY SECURITIES, LLC

SAF FINANCIAL SECURITIES LLC

STONINGTON DRIVE SECURITIES LLC

INCENTRUM SECURITIES, LLC

D.M. KELLY & COMPANY

WATERWAY CAPITAL LLC

LEVEL FOUR FINANCIAL, LLC

CAPACUITY SECURITIES, INC.

LAS OLAS CAPITAL PARTNERS, LLC

USQ SECURITIES LLC

CONFIGURE PARTNERS SECURITIES, LLC

KNOWN GROWTH LLC

AVENUE SECURITIES LLC

CRC-IB

JW & CO.

AMG DISTRIBUTORS, INC.

DAYBRIGHT SECURITIES, LLC

MERIT SECURITIES, LLC

AMG DISTRIBUTORS, INC.

NORTHBOUND SECURITIES LLC

OPENDOOR SECURITIES LLC

ALDWYCH SECURITIES LLC

CAMMACK LARHETTE BROKERAGE, INC.

MERIT SECURITIES, LLC

LM + CO. CAPITAL

H.C.WAINWRIGHT & CO., LLC

USRP EQUITIES, LLC

PAS CAPITAL, LLC

GROUPARGENT SECURITIES, LLC

CASTLE PLACEMENT, LLC

LEVEL MARKETS, LLC

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC

OTKRITIE CAPITAL U.S. INC.

DEUTSCHE BANK SECURITIES INC.

CANTOR FITZGERALD & CO.

TD ARRANGED SERVICES LLC

LABRANCHE & CO. LLC

State Registrations and Notice Filings

Exams

SIE

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 27

Date: 1/2/2023

Series 28

Date: 1/2/2023

FINRA

FINRA

Current Firm

DAYBRIGHT SECURITIES, LLC

Contact information

FINRA licenses (20 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

DAYBRIGHT SECURITIES, LLC

TRUST BUT VERIFY

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